issues pertaining to federal securities laws. Key responsibilities include:... Company Act status issues and providing legal opinions. - Handling broker-dealer and investment adviser status... issues. - Offering counsel on broker-dealer and investment adviser registration... and compliance. - Assisting in t...
practice. The responsibilities include advising financial market participants on various aspects of US commodity, futures, and derivatives regulatory, transactional, and enforcement issues.... This encompasses the regulation of futures exchanges, swap execution facilities, and clearinghouses, as well as commodity pools and...
DC - Investment Management Junior/Midlevel Associates: - Join a... available: one for a junior associate with 1-3 years... experience at a large law firm. - Must have experience with regulatory matters in the financial... services space, such as broker-dealer, investm...
Counsel (Securities Enforcement) at Law Firm... attorney to join the Securities Enforcement practice group at... in matters related to securities market participants, including broker-dealers... and registered investment advisers... - The group is involved in enforcement matters before the SEC, DOJ,...
firm seeks a Counsel-level attorney to join its esteemed... and expanding Securities Enforcement practice group. This... participants, and individuals, in regulatory enforcement matters and high-stakes... investigations. The position offers an opportunity to work on cutting-edge legal issues in a collaborative...