Mid-level Associates To Counsel-level securities

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Mid-Level Associates to Counsel-Level (Securities)
Ideal candidates will have in-depth experience (4-6 years) in the following areas: Public company rules and regulations (Securities Act of 1933, the Securities Exchange Act of 1934). Registration and listing of securities, debt obligations and knowledge of NASDAQ & NYSE Rules. Reporting on Forms 10-K, 10-Q and 8-K. Proxy statements for annual and special shareholder meetings. Section 16 Reporting (Forms 3, 4 and 5). Compliance with Rule 144. Director and Officer Questionnaires. Executive compensation disclosure issues. Private placement of securities in compliance with federal and state registration exemptions and other private company rules. Director independence and related party transactions. roker-Dealer, FINRA and Investment Adviser Regulation Experience is a plus.

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