Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]

When navigating U.S. securities law, two commonly encountered provisions are Rule 144 and Rule 144A. Though the rules sound similar, they serve quite different functions and apply to different circumstances. Below is a refined explanation of each rule and their main distinctions. What Is Rule 144A? Rule 144A provides a “safe-harbor” exemption from the registration […]

Rule 144, a crucial part of the Securities Act of 1933, provides a “safe harbor” for selling restricted or control securities to the public without undergoing the formal SEC registration process—provided certain conditions are met. Core Concepts Restricted SecuritiesThese are shares obtained through private transactions directly from the issuer and not registered with the SEC. […]