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Guide Securities Offerings Through Complex State-Level Compliance

Los Angeles, California Full time 3-6 years
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Role skill field Individual role profile
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Position overview

Our client is seeking an attorney with 3–6 years of experience to work at the intersection of technology-sector securities matters, federal offering exemptions, and state Blue Sky compliance. The practice supports a range of securities offerings and transactions, alongside preparation and oversight of required federal and state filings.

The Work

  • Advise on federal securities law exemptions and state Blue Sky requirements in connection with securities matters and offerings.
  • Counsel on broker-dealer regulations and related compliance considerations.
  • Prepare and oversee Form D filings and state securities filings through the NASAA Electronic Filing Depository.
  • Support securities offerings and private company financings, applying relevant federal exemptions and state requirements.
  • Work on securities matters involving investment funds and capital markets transactions.
  • Apply securities-law knowledge across other securities matters as they arise within the technology-focused practice.

What You Bring

  • 3–6 years of relevant legal experience.
  • Significant experience advising on federal securities law exemptions and state Blue Sky laws.
  • Experience with broker-dealer regulations and related compliance matters.
  • Strong working knowledge of Regulation D, Section 4(a)(2), Rule 701, Regulation A, and Rule 144.
  • Knowledge of applicable state securities requirements.
  • Experience preparing and overseeing Form D and state securities filings through NASAA’s Electronic Filing Depository.

Why Consider It

This opportunity brings together focused Blue Sky and federal securities exemption work with a broader range of securities offerings and transactions.

The practice includes private company financings, investment funds, capital markets matters, and technology-sector work, allowing an attorney to apply specialized filing and compliance experience across varied securities matters.

Confidentiality

This is a confidential opportunity. Contact Advocates Legal Recruiting to discuss the role and receive additional details about the client and team. All inquiries will be handled confidentially.