SEC Rule 144


SEC Rule 144
A rule issued by the SEC that governs stock issued under special circumstances.
See control stock, dribble rule and restricted stock. American Banker Glossary

Financial and business terms. 2012.

Look at other dictionaries:

  • Rule 144 — See SEC Rule 144. American Banker Glossary Restricts solicitation of buyers to complete the sell order of an insider ( insiders) (unless the firm is already a buyer); signified by a flashing E on Quotron. Bloomberg Financial Dictionary …   Financial and business terms

  • Rule 144 — USA An SEC rule that permits resales or secondary distributions of restricted securities and control securities. Rule 144 of the Securities Act provides that a compliant resale does not involve a distribution of securities. So, a person complying …   Law dictionary

  • Rule 144 — A Securities and Exchange Commission rule that sets the conditions under which restricted, unregistered and control securities can be sold. These are the five conditions that must be met for these securities to be sold: 1. The prescribed holding… …   Investment dictionary

  • Form 144 — On December 6, 2007, the SEC published final rules revising Rule 144 under the Securities Act of 1933, which regulates the resale of restricted securities and securities held by affiliates. The amendments to Rule 144, among other things:#Shorten… …   Wikipedia

  • Net capital rule — The uniform net capital rule is a rule created by the U.S. Securities and Exchange Commission ( SEC ) in 1975 to regulate directly the ability of broker dealers to meet their financial obligations to customers and other creditors.[1] Broker… …   Wikipedia

  • Form 144 — A form that must be filed with the SEC when an executive officer, director, or affiliate of a company places an order to sell that company s stock. Also known as Rule 144. There are five basic requirements fill in order to sell under 144: 1. The… …   Investment dictionary

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  • American Depositary Receipt — An American Depositary Receipt (or ADR) represents the ownership in the shares of a foreign company trading on US financial markets. The stock of many non US companies trades on US exchanges through the use of ADRs. ADRs enable US investors to… …   Wikipedia