Rules And Regulations: One Particular Rule Set By The U.S. SEC And The Experts To Contact In Utah

by | Feb 11, 2020 | Financial Services

The world of investing can sometimes feel overwhelming, especially for those who are just beginning. Even those who are “seasoned players” in the investing world still require a team of experts to help them navigate the highly competitive market. Rules and regulations are part of any industry, but it is even more apparent in the financial world. Today, we will briefly Rule 144 Restrictions, what it is, and who to turn to so you can learn more about it in Utah.

What is it?

The U.S. Securities and Exchange Commission has set this particular regulation, rather set of conditions, to be exempted from registration requirements to sell securities or financial instruments that one can buy or sell through public markets such as bonds, stocks, mutual funds, and more. This rule applies to dealers, sellers, issuers of securities, and underwriters.

Why is it important?

When trading in the market, reselling unregistered securities in the public stock market is illegal. Rule 144 is the exemption that allows the resell of unregistered securities that a shareholder must meet to sell these unregistered, controlled or restricted securities. These securities typically come from private sales or are a controlling stake in an issuing company. Restricted securities may also be acquired through an employer’s stock benefits plan.

Learn More

If you are beginning to feel overwhelmed about Rule 144 or want to learn more about it, contact the expert professionals at Colonial Stock Transfer Company, Inc. They are an expert company who can help you navigate the realm of stock transfers. They have the knowledge and experience to help you understand this particular rule and how it can help you as a shareholder. Call or visit them at today.

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