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How Can You Help Your Client Choose the Right Adventure? Navigating Your Options in Small Business Capital Raising

Brenda Eileen Barrett, Sara Kathleen Stock, Amy Reischauer, and Mark D Hobson

Directed at less experienced securities practitioners representing clients seeking to raise capital, this program will introduce participants to resources of the SEC’s Office of the Advocate for Small Business Capital Formation, including the “Navigating Your Options” tool on its Capital Raising Hub, using common fact patterns. A panel of seasoned practitioners and a representative of the Office will review these patterns and discuss the Office’s recent report on the state of capital formation and policy recommendations.


The content of this program does not meet requirements for continuing legal education (CLE) accreditation. You will not receive CLE credit for participating.