Day in the Life: Securities Law
April 26 | 11:30 am | University of St. Thomas, Minneapolis Campus
Jonathan B. Levy, J.D.
Ballard Spahr LLP (formerly Lindquist & Vennum)
Tara Tilbury, J.D.
RBC Global Asset Management (U.S.) Inc.
11:30 am Lunch and Networking
12 pm Speaker Presentation/Q & A
1 pm Event Concludes
About the speakers:
Jon has significant experience counseling investment advisors, investment companies, broker-dealers, and other financial-service companies on various securities-law matters and co-leads the firm’s investment management practice. Jon also has a broad-based securities practice in which he regularly advises private and public companies, as well as officers, directors, and institutional shareholders, on a wide range of matters related to corporate governance and securities law. Jon’s work for investment advisers and investment companies encompasses:
- Organizing, registering, and structuring investment advisers
- Providing compliance and disclosure advice to investment companies and investment advisers
- Representing buyers and sellers in M&A transactions involving broker-dealers, registered investment advisers and investment companies
- Counseling advisers and broker-dealers and sub-advisers on networking and affiliation agreements and arrangements
- Providing counsel on SEC, FINRA, and other regulatory-compliance matters, including preparing advisers and investment company clients for inspections and responding to regulatory examinations
Forming and advising public and private funds on securities disclosure matters, SEC registration, fiduciary duties, corporate governance, Blue Sky and Dodd-Frank compliance issues.
Before joining Lindquist & Vennum now Ballard Spahr in 1997, Jon served as senior counsel in the Enforcement Division of the SEC’s Southeast regional office.
Tara Tilbury is Senior Counsel at RBC Global Asset Management (U.S.) Inc. In her role, she provides legal support to RBC’s U.S. asset management business. Prior to joining RBC in 2019, Tara served as Chief Counsel – Asset Management at Ameriprise Financial, Inc., where she led a global team supporting Columbia Threadneedle Investments, Ameriprise’s asset management segment, and Ameriprise balance sheet investments for 11 years. Tara began her career at Chapman and Cutler LLP in Chicago, where she practiced in the firm’s corporate and securities group with a focus on complex securities. Tara received her B.A. from Lawrence University in 1996 and her J.D. from University of Minnesota in 2001.