Recent Blog Posts
Assigning Intellectual Property at Startup: Why DIY IP Agreements Lead to Ownership Disputes
Every startup begins with an idea—an innovation, an algorithm, a brand name, or a unique process that distinguishes it from competitors. That idea is intellectual property (IP), and it’s often the company’s most valuable asset. Yet many early-stage founders overlook the formalities of assigning IP to the business entity. They assume that because they… Read More »
Navigating Information Statements on Schedule 14C: Disclosure Best Practices and Common Challenges
Companies registered with the Securities and Exchange Commission (SEC) regularly face a wide range of reporting obligations designed to ensure transparency and protect investors. Among these reporting obligations, Schedule 14C information statements hold particular importance. Schedule 14C is utilized by corporations to communicate significant corporate actions to shareholders when shareholder votes are not solicited…. Read More »
Form 8-K Reporting Obligations: Strategic Compliance for Timely Disclosure of Material Events
Publicly traded companies face an intricate array of regulatory obligations aimed at maintaining transparency and protecting investors. One of the essential filings companies must master is the Form 8-K, which is mandated by the Securities and Exchange Commission (SEC) under the Securities Exchange Act of 1934. This form serves as a timely communication tool,… Read More »
Crowdfunding Under Regulation CF: Legal Considerations for Florida Startups Seeking Capital
How to Raise Up to $5 Million Without Traditional Venture Capital For early-stage companies in Florida, raising capital can be one of the most daunting challenges in launching or scaling a business. Traditional venture capital is often out of reach, and small business loans may come with personal guarantees or rigid underwriting criteria. Regulation… Read More »
Navigating Rule 144: When and How Restricted Securities Can Be Resold Without SEC Registration
Liquidity Options for Private Company Stakeholders For founders, early investors, and employees of private companies, equity can represent the lion’s share of personal wealth. Yet turning that equity into liquid assets isn’t always straightforward, especially when the securities in question are “restricted” under federal securities laws. Fortunately, Rule 144 of the Securities Act of… Read More »
The SEC’s Cybersecurity Rules: What They Mean for Florida Public Companies and Reg A Issuers
Navigating Cyber Disclosure Obligations in a Risk-Intensive Digital Era Cybersecurity is no longer just a technology issue—it is now a material concern for investors, regulators, and corporate leadership. In 2023, the U.S. Securities and Exchange Commission (SEC) adopted enhanced cybersecurity disclosure rules that significantly reshape the reporting landscape for public companies. These rules also… Read More »
When Investors Sue: Common Triggers for Securities Fraud Claims in Florida and How to Avoid Them
Understanding Securities Fraud Exposure for Founders and Managing Members Florida’s business climate is known for innovation, entrepreneurship, and investment. Yet with those opportunities come significant legal obligations, especially when soliciting funds from investors. Even the most well-intentioned founders and managing members can find themselves at the center of a securities fraud claim if they… Read More »
Raising Capital Under Regulation A+: The Pros and Cons of Mini-IPOs for Emerging Companies
In today’s dynamic financial landscape, emerging companies consistently explore innovative methods for raising capital efficiently and effectively. Regulation A+ offerings, often called “mini-IPOs,” have become an increasingly attractive alternative, offering businesses a pathway to raise significant capital without the burdens typically associated with traditional initial public offerings (IPOs). Consult a Florida securities registration filing… Read More »
SEC Forms S-1 and S-3: Strategic Considerations for Public Securities Offerings
When companies consider raising capital through public securities offerings, one of their primary obligations involves filing appropriate registration statements with the Securities and Exchange Commission (SEC). Two key SEC forms—Form S-1 and Form S-3—serve distinct purposes and strategic objectives, depending on the company’s circumstances and financial profile. Consult a Florida securities filings lawyer to… Read More »
Navigating Regulation D: Maximizing the Benefits of Rule 506 Offerings for Private Companies
For private companies seeking to raise capital efficiently, understanding and strategically utilizing Regulation D under the Securities Act of 1933—particularly Rule 506—is essential. Rule 506 offerings represent one of the most popular private placement exemptions available today, allowing businesses to raise unlimited amounts of capital from accredited investors without undergoing the costly and time-consuming… Read More »
