Rule 144 Selling Restricted and Control Securities

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• Code of Federal Regulations 144 Exemption Explained

• Articles
• Glossary
• Legal Cases

• Final Rule: Nonpublic Offering Exemption
  On November 6, 1962, the SEC announced its' final rule on nonpublic offering exemptions, restated again in 1986.
• SEC Discusses Selling Restricted and Control Securities
  This informative discussion runs through the various issues involved with selling restricted and control securities pursuant to Rule 144 under the Securities Act of 1933.
• SEC Discusses the 1933 Act and Rule 144
  This brief discussion focuses on the Securites Act of 1933 and the Rule 144 exemption.

• Form 144
  This Form must be filed with the SEC as notice of the proposed sale of restricted securities or securities held by an affiliate of the issuer in reliance on Rule 144. Notice on the Form is only required when the amount to be sold during any three-month period exceeds 500 shares or units or has an aggregate sales price in excess of $10,000. The sale must take place within three months of filing the Form and, if the securities have not been sold, an amended notice must be filed.