Raising Capital for Startups: Legal Strategies from Bootstrap to Exit

This CLE guides attorneys through the legal and practical challenges of helping startups raise capital-from initial founder funding to venture-backed exits. Topics include convertible notes, SAFEs, and preferred stock financings, as well as Regulation D compliance, equity compensation, and negotiation dynamics with early-stage investors. The program also covers lesser-used alternatives like Regulation Crowdfunding and Regulation A+ and how they fit into the broader capital-raising toolkit. Attendees will leave with a solid understanding of how to structure offerings, mitigate risk, and support clients throughout the startup financing lifecycle.

Learning Objectives: 

1. Identify the key securities law exemptions commonly used in startup financings, including Rule 506(b) and 506(c) under Regulation D

2. Explain the mechanics and legal considerations of convertible notes, SAFEs, and preferred stock in early-stage capital raises

3. Evaluate investor qualification requirements, disclosure obligations, and common compliance pitfalls in startup offerings

4. Compare traditional capital raising methods with alternatives such as Regulation Crowdfunding and Regulation A+

5. Advise startup clients on structuring, documenting, and executing financing transactions throughout the fundraising lifecycle