Capital formation remains a vital engine for economic growth—but in today’s rapidly evolving financial environment, legal professionals must navigate a shifting landscape of regulation, innovation, and market dynamics. This CLE course offers attorneys a comprehensive overview of the latest developments impacting capital raising activities and firm responsibilities.

Attorneys will examine new and emerging opportunities to support the capital-raising process, including how firms are adapting to changing investor expectations, technological advancements, and evolving business models. The session also delves into current and proposed regulatory changes—most notably, FINRA Regulatory Notices 24-17 and 25-06—and considers their potential implications for firm practices, disclosures, and oversight.

Through expert panel discussion, this program provides legal practitioners with the context and tools needed to assess compliance risk, advise on capital-raising strategy, and support firms in navigating the regulatory lifecycle of capital formation. Whether representing broker-dealers, working in-house, or advising issuers, attorneys will come away with actionable insights to enhance legal and regulatory guidance in this critical area.