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...
a junior associate with 1-3 years of experience and one for a midlevel associate with 4-5 years of experience at a large law firm. - Must have experience with regulatory matters in the financial... services space, such as broker-dealer, investm...
Title: Financial Services Associate (Attorney) Job Responsibilities: The Financial Services Associate... The role involves working with both new and established companies in the token, digital, and cryptocurrency sectors. Responsibilities include handling corporate transactional and regulatory work, venture financings, digital... assets, payments, l...
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,...
Title: Assistant Special Counsel, Office of Hearing Officers Job Responsibilities: The Assistant Special Counsel in the Office of Hearing Officers is a senior-level legal position responsible for providing effective legal support to Hearing Officers in connection with the adjudication of disciplinary proceedings....
seeking a Senior Corporate Securities Associate Attorney or Counsel... have extensive experience in securities law and corporate governance,... public company regulations and securities offerings. This role requires... a minimum of 6 years of in-depth experience in the clients on...