Join us for a regulatory overview of the securities industry, including the definition of securities and consequences of regulation, including securities registration, full-disclosure paradigm, and sales through licensed professionals. We’ll also discuss potential claims and litigation risks associated with unrecognized or poorly documented securities offerings.
See the full Advantage CLE 2026 schedule here.
Continuing Legal Education (CLE) credits are pending in Arizona, California, Colorado, Florida, Kansas, Minnesota, Missouri, Nebraska, Nevada, New Mexico, New York, Oklahoma, Tennessee, Texas, and Utah. CLE credit application and approval processes vary per state and may not be available after certain state deadlines. Please email education@spencerfane.com if you have questions about credits.