Rule 147Safe HarborsSEC GuidanceSection 3(a)(11)Securities Attorneys Securities Law Update: Intrastate Offerings Section 3(a)(11) and Rule 147 Examined Laura Anthony, Esq.November 6, 2009 Section 3(a)(11) of the Securities Act of 1933, as amended (Securities Act) provides an exemption from the registration requirements... 025200
Rule 144 SEC Rule 144: Pledged Securities, Holding Periods and Subscriptions Agreements Laura Anthony, Esq.November 5, 2009 Securities which are bona fide pledged may be tacked to the holding period of the pledgor as long as the pledge has full recourse ag... 058700
Rule 144 SEC Rule 144: Current Public Information and Reporting Requirements Laura Anthony, Esq.November 4, 2009 The current public information requirement is measured at the time of each sale of securities. That is, the Issuer, whether reporti... 034700