Rule 144 Opinion Letter Sample

Pursuant to rule 144 under the securities act of 1933 as amended rule 144. However the transfer agent and issuing company will need legal opinions before removing the restrictive legend on your stock certificates.

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The number of shares is the following.

Rule 144 opinion letter sample. Rule 144 provides a background for determining who is an underwriter under section 4 1 and 2 11 of the securities act. Shareholder s rule 144 k representation letter. That is the issuer whether reporting or non reporting must satisfy the current public information requirements as set forth in rule 144 c at the time that each resale of securities is made in reliance on rule 144.

Form of 4 a 1 144 opinion letter sale by shareholder of restricted stock in a 144 transaction date transfer agent name and address vision financial markets llc. To whom it may concern. That is the issuer whether reporting or non reporting must satisfy the current public information requirements as set forth in rule 144 c at the time that each resale of securities is made in reliance on rule 144.

I am submitting this letter in connection with the removal of a restrictive legend from shares of stock that i own. The issuer or the company is the following. Be advised that opinion letters from counsel are not binding upon the commission regulatory bodies.

Rule 144 opinion letters the current public information requirement is measured at the time of each sale of securities. Rule 144 opinion letters the current public information requirement is measured at the time of each sale of securities. Either counsel to the company has delivered to the buyer an opinion letter or the company shall accept in its reasonable discretion an opinion letter prepared by legal counsel of buyer s choosing in either case the opinion letter stating that i the company is not a shell company or the type of issuer defined in rule.

I the shareholder am the following. Nitial all that apply i have carefully reviewed a copy of rule 144. This is particularly important for those who are sellers of restricted securities from being classified as underwriters.

Name of issuer gentlemen. Section 4 a 1 opinion for a non affiliate of a non reporting company that has previously been a shell company not rule 144 eligible who has held restricted common stock for more than two years. In this connection i represent to you and warrant as follows.

Rule 144 opinion letters our service to you we assist shareholders stockbrokers and brokerage firms corporate issuers corporate and inside counsel insiders and affiliates and transfer agents market makers in facilitating restricted stock transactions by providing prompt efficient and cost effective legal opinions necessary to public sales of restricted securities pursuant to rule 144. 450 includes companies who voluntarily file sec reports with a 333 prefix to their file number and have less than 300 stockholders of record disclosed in their last annual report on form 10 k. I propose to sell the above referenced shares in the manner permitted by rule 144.

120 long ridge road 3 north. Rule 144 does not require you to get a legal opinion. A legal opinion helps protect the transfer agent issuer and broker from a charge of violating the securities act of 1933.

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