OTC Markets’ Role in Secondary Offerings and Resales
The critical role of OTC Markets in facilitating secondary offerings and resales of restricted and control securities under SEC Rule 144. This…
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What Is a Control Person? Control Securities, Resale Requirements
Sales of restricted securities by affiliates and control persons of publicly traded companies are subject to requirements not applicable to other sellers…
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Section 4(a)(7) Resale Exemption – FAST ACT
Section 4(a)(7) provides an exemption for private resales from the SEC’s (“SEC”) registration statement requirements if certain conditions are met. One of…
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