Services

144A Opinion Letters

Investors often find themselves in possession of restricted or controlled securities and want to gain market liquidity. To sell restricted securities, the seller must first obtain an exemption under SEC rules and regulations. This process is called a 144 exemption and allows for the public resale of restricted securities.

To sell restricted or controlled securities under Rule 144, there is a six month to one year holding period. There must be adequate information about the issuing company, there are certain limitations regarding commissions, and there are notice requirements for the sale within a 90-day window.

Scarinci Hollenbeck, LLC can prepare your 144 Opinion Letter and work with your transfer agent to gain access to your locked away equity.