The Form 144 Notice Requirement
Rule 144 requires that a “Notice of Sale” on Form 144 be filed by any person for whose account the securities are being sold if the person is an affiliate at the time of sale, or was an affiliate...
View ArticleRestrictive Legends 101
The Securities Act of 1933, as amended (the “Securities Act”) does not require that issuers place restrictive legends (“Restrictive Legends”) on certificates representing restricted securities. It...
View ArticleRule 144′s Current Public Information Requirement
Rule 144 of the Securities Act provides a safe harbor from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”) for resales of restricted and control...
View ArticleNASDAQ Alternative Listing Standards For Reverse Merger Issuers – Securities...
Recently, the SEC approved a NASDAQ proposal for an alternative to the current requirement of a $4 per share initial listing bid price on the NASDAQ Capital Market which may affect issuers choosing to...
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