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Financial Industry Regulatory Authority (FINRA). As a Legal Extern,... to assist in investigating potential violations of federal securities laws or FINRA and MSRB rules by... regulated firms and individuals. This is a part-time position, and externs must work a mini...
offers of employment at FINRA are subject to a... thorough background investigation. FINRA is an Equal Opportunity... and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status,...
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...
Liaison and Counsel Organization: FINRA (Financial Industry Regulatory Authority)... NY) Time Type: Full time Posted On: Posted 2 Days Ago Job Requisition ID: R-008279 Job Summary: FINRA is seeking a highly... skilled and experienced Senior Paralegal to pr...
Name Legal Affairs H1: Exciting Paralegal Opportunity at Ameriprise Financial H2: Join Our Legal Team and Make a Difference Bold Headline: Become a Part of Ameriprise's Legal Team as a Paralegal The Opportunity: - Join a...
Responsibilities: Direct, manage, and supervise a team of attorneys in developing and implementing capital markets policy initiatives and counseling the Department of Market Regulation and Transparency Services. Provide expert knowledge and advice to the Board of Governors...
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...