When Denying Rule 144 Legal Opinions is a Market Manipulation Scheme
Practical guidance on Rule 144 legal opinions, restrictive legend removal, and transfer agent processing, including shell company and 144 legal opinion considerations.
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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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Rule 144 Resales of Restricted Securities of Shell Companies and Former Shell Companies
Rule 144(i): The Restriction on Shell Company Resales - What Stockholders and Issuers need to know.
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SEC Amends Rule 144 for Convertible Notes and Unregistered Dealers
On December 22, 2020, the Securities and Exchange Commission (“SEC”) voted to propose amendments to Rule 144 to eliminate tacking for shares…
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Securities Lawyer, Thomas Craft And Disbarred Attorney, Richard Rubin Charged by SEC for Fraudulent Legal Opinions
Securities Lawyer, Thomas Craft And Disbarred Attorney, Richard Rubin Charged by SEC for Fraudulent Legal Opinions
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What Is The Section 4(1) Exemption? Securities Lawyer 101
Registration Statement, Unregistered Securities, Safe harbor, Rule 144 safe harbor, Rule 144 legend, Rule 144 legend removal, Affiliate, Form 144, Control, Control…
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