Home Archive by Category "Rule 144" (Page 3)
Overview of Recognized Exemptions From Section 5
The Securities Act of 1933 recognizes two broad types of exemptions to the registration requirements of Section 5, exempt securities...
0
485
0
0
Recommendations Of SEC Government-Business Forum On Small Business Capital Formation
In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Smal...
0
553
0
0
Resale of Crowdfunding Securities And An Aftermarket
In accordance with Section 302(e) of the Crowdfunding Act, the securities issued in a crowdfunding offering are restricted securitie...
0
274
0
0
Rule 144 and Pink Sheet Shells; Selling Shares Post Merger
One of the most common inquiries received by securities attorneys today involves Issuers wanting to know when they and their shareho...
0
741
0
0
Rule 144 and the Evergreen Requirement Examined
Technically Rule 144 provides a safe harbor from the definition of the term “underwriter” such that a selling shareholder may utiliz...
0
555
0
0