Reduce SEC disclosure and shareholder-litigation risk with practical legal review of investor decks, press releases, and Investor Relations materials.
Raising with SEC Compliance Investor decks and press releases often play a central role in capital raising and market communications. However, in the eyes of the SEC, they are also highly scrutinized disclosure documents. When CEOs and marketing teams use “promissory” language, guarantee future performance, or selectively cherry-pick financial data, they can create anti-fraud risk under Rule 10b-5 and related securities laws. A misleading slide or overhyped press release can create SEC inquiry risk, trading-market disruption, or shareholder claims.
At Ishimbayev Law Firm, we bridge the gap between marketing ambition and legal reality. We provide rapid-response legal reviews for pitch decks, press releases, and corporate websites. We don’t just redline your documents and say “no”—we provide compliant, alternative phrasing that preserves your compelling business narrative while staying within applicable SEC disclosure and anti-fraud requirements.
Scrubbing your slide decks for unsubstantiated claims, ensuring accurate presentation of historical data, and drafting tailored forward-looking statement legends and meaningful cautionary language for projections where a safe harbor may be available.
Conducting pre-market reviews of material news announcements, earnings releases, and M&A disclosures to ensure they are balanced, accurate, and not misleading by omission.
Structuring forward-looking statement language and risk disclosure under the PSLRA framework, where applicable, to help reduce litigation risk around projections and growth estimates.
Reviewing your corporate website, IR portal, and executive LinkedIn/X (Twitter) posts for consistency with Regulation FD, Rule 10b-5, and other applicable disclosure issues; if adviser or fund marketing is involved, we also consider the SEC Marketing Rule.
Traditional compliance counsel often kills the momentum of a capital raise by stripping out all persuasive language. We are business-minded securities attorneys. We work with your IR team to find the legally supportable way to highlight your competitive advantages and growth metrics.
News moves fast, and market opportunities wait for no one. We understand that a press release about a major acquisition or FDA approval may need to be released quickly. We offer agile, expedited review services to meet your most aggressive PR deadlines.
If your company is in the process of a registered offering (or preparing for one), strict SEC rules govern what you can and cannot say publicly. We review your communications to help avoid “gun-jumping” issues that could force the SEC to delay your offering.
We review your marketing materials not in a vacuum, but against your historical SEC filings (10-Ks, 10-Qs). We help align the narrative being presented to investors with the company’s historical SEC filings and other public disclosures.
The SEC targets language that guarantees a specific return on investment, minimizes risks, or presents hypothetical projections as absolute facts. Words like “guaranteed,” “risk-free,” “will definitely,” or unsubstantiated claims of being the “industry leader” without empirical proof are clear red flags.
A Safe Harbor statement is cautionary language used with forward-looking statements, such as revenue projections or product launch dates. Where the PSLRA safe harbor is available, identifying statements as forward-looking and pairing them with meaningful, specific risk disclosure may help reduce liability risk, but it does not protect knowingly false statements and does not apply in every context.
Potentially. Executive social media posts can be treated as company communications depending on the facts, especially if the executive uses the account to discuss company business. A post containing MNPI or misleading statements can create Regulation FD, Rule 10b-5, and enforcement risk.
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