Restricted Area: Rule 144—SEC’s Proposed Amendments

Transactions in restricted or control securities are subject to Rule 144. Review this article to get up to speed on the SEC’s proposed amendments to the scope of, filing process for, and other amendments relating to, Form 144.

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Related Content

• Rule 144 Resales Guidelines Checklist
  Go through the steps for applying Rule 144 to a securities offering.
• Rule 144 Resale Opinion Letter
  Use this opinion template for a client’s resale of securities in reliance on the Rule 144 safe harbor.
• Domestic Resales of Unregistered Securities: Rule 144, Section 4(a)(1½), and Section 4(a)(7)
  Understand the principal exemptions available for resales of securities.
• Rule 144 Representation Letter (Provided by Affiliate Stockholders to Company Counsel)
  Draft representations re: Rule 144 compliance to the company on behalf of a selling stockholder with this template.

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