Tag Archives: Rule 144

Rule 506 and General Solicitation

On August 31, 2012 the SEC issued proposed rules that would eliminate the prohibition against general solicitation and advertising in Rule 506 offerings.  The SEC has requested comments on the proposed rules within 30 days.  You may provide your comments … Continue reading

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What Exactly is a Rule 144 Opinion?

If you own shares of a Smaller Reporting Company, chances are they are “restricted.” But what does that mean?? The general principle behind securities law is that every offer or sale of a security must be registered with the SEC, … Continue reading

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