Jan 20
4
In House Counsel Jobs New York | JDHuntr 33275 Attorney Broker-Dealer, CA
To apply go to JDHuntr.com
*Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and compliance requirements and risks. *Analyze and *provide guidance on evolving laws, rules, regulations, and trends impacting broker-dealers, including: *Securities Act of 1933, *Securities Exchange Act of 1934, *Gramm-Leach-Bliley and related broker-dealer statutes and regulations; *FINRA and MSRB rules and regulations; and other federal and state financial services-related laws, rules and regulations applicable to broker-dealers as well as broker-dealer partnerships including, Glass-Steagall
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