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The candidate will manage... regulatory counsel on insurance, broker-dealer and investment adviser related... matters, including supervision, compliance policies and procedures, sales and marketing practices, record keeping and licensing. Assisting with legal counsel relating to the application of federal,...
broad knowledge of the federal securities laws as they relate to municipal securities and broker-dealer regulation as well as... knowledge of MSRB rules, the municipal securities market and municipal financial products are needed. Knowledge of municipal advisor regulation is desired....