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California Securities Law

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California Securities Law

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  1. CALIFORNIA SECURITIESLAW Securities dealings are not only financially complex, they are also highly regulated. Virtually all types of equity transaction — from initial stock offerings to issuances of stock options and bonuses to mergers and acquisitions — raise legal issues under state and federal securities law. Failing to take heed of securities regulations could jeopardize your business. Not only could you lose your funding, but you could also potentially subject yourself to civil and criminal liability. Enlisting the help of a qualified lawyer is a wise and often indispensable step for protecting your business interests. 9110 Irvine Center Drive Irvine, CA 92618 gbradshaw@wbc-law.com Phone: 917-830-6517 https://www.securitieslegal.com

  2. PRIVATEPLACEMENT private placement of securities In connection with a private placement of securities, one of our areas of securities law expertise is in preparing private placement memoranda (PPM) to be delivered to qualified prospective investors and all other legal documents relating to the private placement, including “accredited investor” questionnaires and subscription agreements. We also provide guidance with ensuring that the private placement complies with the requirements of applicable federal and state securities laws, including the Securities Act of 1933, and satisfies the conditions of exemptions from the registration requirements of the Securities Act (including Rule 506 of Regulation D) and of applicable state securities laws (also known as “blue sky laws”). We also effect the filing of Form D with the Securities and Exchange Commission and the filing of required “blue sky law” filings required under applicable state securities laws.

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