Legal Underwriters Jobs Jobs in Appleton, WI

Partner in Corporate - Securities and Capital Markets, Corporate - Asset/Investment Management, Finance - Financial Services Regulation in Ashwaubenon, WI

Full-time Posted On Nov 11, 25 22 views Experience : 6-8 yrs required

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Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Finance - Financial Services Regulation

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advertising Capital Markets corporate governance corporate transactions Equal Pay Act Ethics family FINRA Insurance Investment Advisers Act of 1940 investment bankers LLC marketing Securities Exchange Act of 1934 securities laws trusts underwriters

private funds. - Act as underwriters counsel on public and... private offerings. - Interpret and apply federal securities laws, including the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and Investment Company Act of 1940. - Handle ADV/Form BD/Form PF filings,...

Employer Law Firm **Members Only** Location Ashwaubenon, WI

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Partner in Corporate - Securities and Capital Markets, Corporate - Asset/Investment Management, Finance - Financial Services Regulation in Ashwaubenon, WI

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Partner in Corporate - Securities and Capital Markets, Corporate - Asset/Investment Management, Finance - Financial Services Regulation in Ashwaubenon, WI

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