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Guide Technology Companies Through Securities Compliance and Capital Formation

Boston, Massachusetts Full time 3-6 years
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Role skill field Individual role profile
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Position overview

Join a technology-focused practice advising on securities compliance and supporting a range of offerings and financings. This Boston-based Senior Attorney role brings together federal exemption analysis, state Blue Sky requirements, and hands-on securities filing responsibility.

The Work

  • Advise on federal securities-law exemptions, state Blue Sky laws, broker-dealer regulations, and related compliance matters.
  • Prepare and oversee Form D and state securities filings through NASAA’s Electronic Filing Depository.
  • Support securities offerings and private company financings, applying relevant federal and state securities requirements.
  • Contribute to investment fund matters, capital markets transactions, and other securities matters.
  • Apply working knowledge of Regulation D, Section 4(a)(2), Rule 701, Regulation A, and Rule 144 to securities matters.

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, Rule 144, and applicable state securities requirements.
  • Experience preparing and overseeing Form D and state securities filings through NASAA’s Electronic Filing Depository.
  • Experience supporting securities offerings, private company financings, investment funds, capital markets transactions, or other securities matters.

Why Consider It

This role combines federal and state securities analysis with direct responsibility for Form D and state filing work.

The practice also supports a varied mix of securities offerings, private company financings, investment funds, capital markets transactions, and other securities matters, offering a broad range of work within a technology-focused group.

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.