Save your search progress and never miss an update
Firm is seeking an Experienced Corporate Paralegal to join its team. The ideal candidate must have knowledge of SEC rules and using the EDGAR system, as well as experience with proxy statements for both domestic and foreign private issuers and...
FINRA abides by the requirements... of 29 CFR 5134. This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors individuals with disabilities. FINRA abides by the requirements......
underwriters in capital markets transactions, including initial public offerings, follow-on public offerings, registered direct offerings, ATM offerings, PIPE transactions and/or SPAC offerings. The candidate should have experience listing securities on NASDAQ/NYSE and/or OTCQB/QX; working with the SEC, FINRA and NASDAQ...
with substantial exposure to M&A transactions for both public and private companies, startups, public and private offerings, SEC, FINRA and NASDAQ filings, and... the broad range of legal issues faced by middle market companies in the course of their businesses....
work pursuant to the 1933 and 1934 Acts, with substantial exposure to public and private offerings (including IPOs and Regulation D offerings) and SEC, FINRA, and NASDAQ filings (including... 10-K, 10-Q, 8-K, and proxy statements). Experience with broker-dealer regulations a...
Vice President- Markets Compliance Advisory **The Role** BNY Mellon is seeking a Vice President to join its Markets Compliance Advisory team. This is a hybrid role located in either New York, NY or Boston, MA. **Responsibilities**...
law firm based in New York City, NY, is seeking an experienced FinTech and Blockchain Counsel with a minimum of 8 years of legal practice. The ideal candidate should possess substantial expertise in US federal securities laws, including experience in...
to Senior-level Financial Services Compliance and Regulatory Associate The candidate must have 4+ years of experience working on compliance and regulatory matters. Should ideally have experience working with and counseling registered investment advisors and broker-dealers on regulatory and compliance-related issues,...
Overview:A law firm is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney to join their team in New York City. The ideal candidate will bring experience in compliance and regulatory matters, specifically with registered investment advisors and...
global regulatory regimes applicable to research (., MiFID II, FINRA Rule 2241, FCA COBS... 12, etc.) Responsibilities: As the General Counsel for Investment Research, you will be responsible for the following: Providing legal advice to the...