August 8, 2018 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Enjoy! 

This Issue’s Topics:

  • JOB: E*TRADE: Assistant General Counsel – Brokerage Regulatory
  • Mastering Bitcoin, Cryptocurrency & Blockchain Law CLE Webinar
  • REMINDER: FREE: Investment Network’s Digital Assets Working Group (DAWG) Meeting
  • Lend360: Chicago

Job Opportunities:

E*TRADE: Assistant General Counsel – Brokerage Regulatory
Location: Chicago, IL

E*TRADE is seeking a brokerage regulatory lawyer to provide advice and counsel to the Company’s Brokerage business, primarily located in Chicago. This would include the firm’s trading and customer-facing personnel, as well as equities and derivatives product experts, among others. The successful candidate will have exposure to broker-dealer/FCM legal and regulatory matters, including with respect to the trading and clearing of equities, ETFs, listed options, and futures products. This position will report directly to the Associate General Counsel resident in the Chicago office.


Specific areas of responsibility include, among others:

  • Advising on new products and services
  • Participating in strategic initiatives, including integration of new businesses and product lines
  • Drafting and negotiating a wide range of agreements
  • Assisting with regulatory requests, examinations and investigations
  • Reviewing customer forms and applications
  • Assisting in the implementation of regulatory changes
  • Providing routine advice on a wide range of issues, particularly as those relate to equities, options and futures, best execution, market structure, operations, margin, and the financial responsibility rules



  • Undergraduate degree from a 4-year institution
  • J.D. from a highly respected law school, with superior academic credentials
  • Member in good standing of a state bar
  • At least 5 years of legal experience in broker-dealer regulation, either in the financial services industry or private practice, or as a regulator
  • Knowledge of and experience with some combination of the Securities Exchange Act, Commodity Exchange Act, Investment Advisers Act, Dodd-Frank, Regulation T, and FINRA and NFA rules
  • Experience drafting and negotiating contracts


  • Results-focused project management and execution skills
  • Excellent analytical, communication, interpersonal, and organizational skills
  • Highly developed written and oral communication skills, with special emphasis on excellent drafting, negotiation skills, and exceptional attention to detail
  • Ability to identify issues and suggest improvements to form agreements, policies, and procedures
  • Excellent organizational and time management skills, strong initiative and hard-wording; ability to prioritize multiple assignments and meet deadlines
  • Highly motivated self-starter
  • Specific expertise in the trading of equities, listed options, and futures is preferred

For more information or to apply, click here.


Mastering Bitcoin, Cryptocurrency & Blockchain Law CLE Webinar
Wednesday, August 15, 2018, 11-12:30 PM

 The huge expansion in Bitcoin & digital currencies in states across the nation and globally has led to a significant need for attorneys proficient in the cutting-edge use of related legal and regulatory issues. The laws vary greatly and have been in flux with the proliferation of Fortune 500 companies, governments, and start-ups seeking to take advantage of this growing use of currency. The faculty for this seminar features several leading authorities on the subject. This comprehensive program on virtual currency law will introduce you to the most relevant issues and practical solutions, including Blockchain, distributed ledger, the growth of cryptocurrencies, role of digital currencies in financial transactions, “Smart Contracts,” compliance & avoidance strategies, and virtual currency transmissions. The faculty will also cover the changes and progress on the latest legal developments and future regulations. Registration includes online access to course and reference materials that serve as a helpful guide to the numerous topics and techniques discussed in the program.

The speakers include: Nicole M. Kalajian, Stradley Ronon Stevens & Young, LLP; John Rafferty, Gawthrop Greenwood, PC; and Samuel G. Kramer, Baker & McKenzie.

For more information, click here.

REMINDER: FREE: Investment Network’s Digital Assets Working Group (DAWG) Meeting
Wednesday, August 15, 2018, 4:15-5:00 PM (with reception to follow)
191 N. Wacker Dr., 10th Floor Conference Center, Conference Room A, Chicago, IL

Join us for a discussion on how to How to Securitize, Market and List Cryptocurrencies on Exchanges.

The speakers include: Jamie Finn, Securitize, Co-Founder and President; Darren Marble, CrowdfundX CEO; and Juan Hernandez, Open Finance, CEO. Host: Nicole Kalajian of Stradley Ronon.

Light refreshments will follow the meeting. Contact Kathy Petrusek ( to RSVP or RSVP to the invite that was sent out to DAWG members. If you are not a current DAWG member, but want to become one, please let Nicole know at

Illinois CLE credit has been applied for and is pending.

Lend360: Chicago
Monday-Wednesday, October 8-10, 2018
Sheraton Grand Chicago, 301 E North Water St, Chicago, IL

 Get ready to make meaningful and impactful connections.

 The online lending industry’s best and brightest converge at the one and only conference for the industry, by the industry. Connect with your peers, share ideas and learn from industry insiders and decision-makers at LEND360.   It’s time to get savvy to exclusive online lending insights, expand your business and connect with influencers shaping the fintech industry.  

A few of day one topics include: Fintech Perceptions: Building Trust in Online Lending: As the common saying goes, “perception is reality” and fintech is certainly no exception to that adage. Join our panelists as we dive into the data on how our customers view our industry, identify the 3 biggest factors affecting trust in online lending and how the fintech community can incorporate these practices into their business to continue to build trust with our end users; Building the Case for Financial Health: Whether they realize it or not, banks and fintechs are in the financial health business. As companies continue to identify their role in helping their customers develop strong, long-term financial wellness, what are the key factors impacting financial health? Join CFSI President and CEO, Jennifer Tescher, as we explore how individual companies and the online lending industry can better understand our customers’ financial behaviors to help develop an industry framework for financial health; Navigating State Licensing Issues & Working with Government: A Discussion with State Regulators: It is no secret that online lenders are facing multiple challenges when attempting to get licensed in individual states, so what efforts can fintech do in the states to make sure they are staying compliant? Join our discussion with various state regulators on the issues and concepts that they see making the biggest impact on fintech ranging from state interest rate caps to the bank-fintech partnership model; Serving the Everyday Consumer: Products and Services for the Underbanked: According to new survey data, 57% of American consumers don’t have enough cash to cover an unexpected $500 expense, traditional financial institutions have struggled to meet these needs due in part to the compounded fact that 43% of Americans have credit scores lower than 700. As a result, the demand for access to credit from these consumers has created a need to meet the demands of the underbanked community. Join our panelists as they explore the products and services that fintech providers are deploying to meet the needs created by hardworking Americans looking for funding; and Small Business Lenders’ Call to Action: Coming Together for an Industry Discussion: With regulators knocking on the door, building trust with our small business customers through transparency of terms, sound underwriting judgement and a unified set of best practices can help your business get ahead of the curve. Join our panelists as they lead the call to action for best practices for small business finance and how the industry can come together to improve underwriting, compliance and the customer experience to ensure small business lenders are in the best light for not only our customers, but also regulators and investors.

For more information, click here.

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