Tag Archives: rule 144 exemptions

What is the Holding Period for Stock Acquired Under a Subscription Agreement?

Shareholders who own restricted stock in OTC Markets or OTC Bulletin Board Issuers know that compliance with Rule 144 is a fact of life, and that virtually no broker will accept OTC stock for deposit without a Rule 144 legal … Continue reading

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Current Public Information Requirement Under Rule 144 for Multiple Sales

Sometimes Shareholders, such as Affiliates, will sell stock over time and the question arises whether or not one Rule 144 legal opinion will suffice.   This depends upon how long ago the 144 opinion letter was drafted.  The reason updated legal … Continue reading

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What Are The Exceptions to SEC Rule 144?

Some Examples of Exceptions to Rule 144 Stock included in a Registration Statement is not subject to Rule 144 if sold exactly as described in the Issuer’s Prospectus.  If not sold exactly as specified then Rule 144 is applied. Stock … Continue reading

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