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Providing in-house legal services to the state 529 plan service provider business and its associated SEC-registered investment adviser. This position requires a strong understanding of investment advisory services, broker-dealer activities, disclosure documents, and related operational systems and procedures. Structuring legal and business advice based on applicable rules, regulations, and laws. Negotiating, drafting, reviewing, and analyzing contracts with clients and contracts used in connection with securities distribution activities.

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Published at 03-03-2015
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