1940 Act Jobs in Utah

Seeking an Attorney with extensive background in the Investment Company Act of 1940, the Investment Advisers Act... of 1940, the Securities Act of... 1933 and the rules and regulations there under. This attorney will be the lead person providing advice to the company, Alternative Investment Group. Will provide advice on new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws; p... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Division of Enforcement The applicant will work with the division that investigates possible violations of the federal securities laws, recommends commission action when appropriate, either in federal court or before an administrative law judge, and negotiates settlements of these actions if possible or litigates the cases if necessary. Work on cases involving a number of such kinds of violations and to play important and responsible roles in the investigatio... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Division of Investment Management The applicant will interpret laws and regulations for the public and SEC inspection and enforcement staff; respond to "no-action" requests and requests for exemptive relief; review investment company and investment adviser filings; review enforcement matters involving investment companies and advisers; and develop new rules and amendments to adapt regulatory structures to new circumstances. The candidate must possess a ... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Division of Investment Management The candidate will interpret laws and regulations for the public and SEC inspection and enforcement staff; respond to "no-action" requests and requests for exemptive relief; review investment company and investment adviser filings; review enforcement matters involving investment companies and advisers; and develop new rules and amendments to adapt regulatory structures to new circumstances. Applicant must have a . from... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Division of Investment Management The applicant will interpret laws and regulations for the public and inspection and enforcement staff; respond to "no-action" requests and requests for exemptive relief; review investment company and investment adviser filings; review enforcement matters involving investment companies and advisers; and develop new rules and amendments to adapt regulatory structures to new circumstances. Applicant must have a . degree fr... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Office of Compliance Inspections and Examinations The candidate will review and analyze books, records, and financial statements of registrants, prepare inspection reports including findings and recommendations, consult with Commission offices/divisions outside the Office on enforcement matters and other issues within the Office's jurisdiction, work on legislative matters within the Office's jurisdiction, and work on special projects that pertain to securitie... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Division of Market Regulation The candidate will assist in drafting new rules; drafting amendments to and interpreting existing rules; reviewing proposed rule changes submitted by regulated entities; drafting responses to requests for no-action or exemptive relief; consulting with other SEC offices or federal financial agencies; reviewing legislation; and working on special projects. The candidate must have a . degree from an accredited law school and b... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Division of Corporation Finance The candidate will work with accountants and financial analysts in the division. Will work directly with executives and lawyers at companies as well as outside counsel. The candidate must have a . degree from an accredited law school and be a member of the Bar. Must have 1+ year of legal experience - as a member of the Bar - in the securities field or in a related financial field. Demonstrated experience with and... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney, Division of Investment Management The candidate will interpret laws and regulations for the public and SEC inspection and enforcement staff. Will respond to no-action requests and requests for exemptive relief. Review investment company and investment adviser filings. Review enforcement matters involving investment companies and advisers. Develop new rules and amendments to adapt regulatory structures to new circumstances. The candidate must have a . de... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney Duties: Work within the division of investment management is accepting applications for staff attorney positions in its offices in Washington, DC. Interpret laws and regulations for the public and SEC inspection and enforcement staff; respond to "no-action" requests and requests for exemptive relief; review investment company and investment adviser filings; review enforcement matters involving investment companies and advisers; and develop new rules and amendm... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here