Articles Posted in Registration Rules

Forward-Looking Statements in SEC Registration Statements
Corporate Securities Legal

Before a company can go public, it must file a registration statement with the U.S. Securities and Exchange Commission (SEC). This filing provides potential investors with critical information needed to make informed investment decisions. Investors expect transparency regarding a company’s history, financial condition, market position, and—importantly—its anticipated future performance. Forward-looking statements are designed to address…

Continue reading ›
Mandatory Arbitration Provisions No Longer Impede SEC Registration Statement Approval
Corporate Securities Legal

What Is a Mandatory Arbitration Provision? A mandatory arbitration provision requires investors to arbitrate claims arising under the federal securities laws with the issuer of the securities, rather than pursuing those claims in federal court. In the context of an SEC registration statement, this is commonly referred to as an issuer-investor mandatory arbitration provision. According to…

Continue reading ›
Reporting Pay Versus Performance Executive Compensation Plans
Corporate Securities Legal

What Are Pay Versus Performance Disclosure Rules? Public companies are required under U.S. Securities and Exchange Commission (SEC) rules to periodically provide transparent disclosures to investors and the public regarding executive compensation, partcularly when compensation is tied to equity awards such as stock and stock options. These requirements are collectively referred to as equity plan disclosure…

Continue reading ›
What Is An “Exemption From Registration?”
Corporate Securities Legal

Regulation D’s Rule 504 and Rule 506 grant exemptions from registration if different requirements are met. Rule 504 Rule 504 of Regulation D provides an exemption from registration for a 12-month period on the offer and sale of up to $5,000,000.Rule 504 permits general offerings and solicitations so long as they are restricted to accredited…

Continue reading ›

Client Reviews

Honesty, Integrity, Professional, Knowledgeable - HIGHLY RECOMMENDED. We have been working with Gilbert on a startup for two years now. Gilbert has been patient, and knowledgeable in guiding us forward. He has generously introduced us to his Network, which has furthered our goals. Gilbert is someone...

David

Excellent value as you get professional top of the line legal services at a great price. The confidence I felt in Gilbert at our first meeting proved evident throughout the process of my start-up. He explained the process thoroughly, listened and responded to my questions with clarity, and managed...

Nate B.

He know business and law. Unlike many lawyers, Mr. Bradshaw has a deep understanding of not only law, but the effect legal choices can have on small and medium sized business, so the council he gives has the perfect balance to help you make the right decisions in the short and long term. He also...

Jonathan

Very helpful to startups. Gil has helped us get started as we are working to grow our company. He is crazy smart and really undersatnds the whole financial/startup/law world. He brings together knowledge from many different worlds that have helped us significantly. He always strives to make time for...

Laura S.

Mr Bradshaw is an expert in corporate legal advisement. Mr Bradshaw is an expert in corporate legal structure analysis and SEC law. He has been very valuable in providing us a Private Place Memorandum for distribution to investors. I highly recommend Gil Bradshaw for any Company in need of corporate...

Joe

Professional. We hired Gilbert to help us with a partnership dispute, his knowledge of corporate law and his dedication to his clients stood out as some of the many great traits we valued most while working with him. Gilbert helped us to solve the problem and come to a resolution in an expedited...

Adam

Very knowledgeable lawyer. Gil helped us throughout the process of purchasing our convertible preferred shares from a private offering through the registration and sales process.

Jerad

Very knowledgeable. Gil is a ball of energy. He helped us raise money for a project and gave us very good ideas and valuable advice. His legal bills were much cheaper than our last lawyer's and I felt like he enujoyed working with us. I will definitely hire him again.

Quentin

Contact Us

Fill out the contact form or call us at (949) 752-1100 to schedule your consultation.
  • cf-icon-03.png Schedule a Free Consultation
  • cf-icon-01.png Connect With Our Legal Experts Today
  • cf-icon-02.png Get Started on Your Compliance Journey

Leave Us a Message