Business Law Training: SEC Compliance: Spotting Common Securities Law Issues in Transactional Matters
Join a panel of Quarles' Investment Management Team members as they discuss securities law topics that arise in corporate transactional work. We will cover common issues such as spotting broker-dealer and investment adviser registration requirements, compliance considerations for private equity managers and family office structures, and succession planning and unique considerations for working with registered investment advisers.
Important Information Regarding Changes to Quarles' Continuing Legal Education Process:
Quarles is happy to be able to provide CLE credit in most U.S. jurisdictions for Quarles webinars. As of April 2024, The American Bar Association (ABA) manages the CLE applications, attendance submission, and Certificates of Attendance for our external webinars.
Continuing Legal Education:
This program is eligible for 1.0 hours of CLE credit in 60-minute states and 1.0 hours of CLE credit in 50-minute states. Credit hours are subject to each state’s approval and credit rounding rules. Quarles certifies that this activity is approved for California Participatory MCLE credits by the State Bar of California in the amount of up to 1.0 general credit. Quarles is a State Bar of California MCLE approved provider.
CLE Questions?
If you have questions about the certificate you received (or did not receive) for a program that occurs in April of 2024 or later, please contact the ABA at mcle‑quarles@americanbar.org.
If you have a question about a previous event or need to speak with the Quarles CLE team, please send us an email at QBCLETeam@quarles.com.
General Questions?
Please contact Lauren Klika and Alexa Curto, events@quarles.com.