Regulatory Alerts2021-01-19 | 2020-28790Added · Updated
Rule 144 Holding Period and Form 144 Filings
The Securities and Exchange Commission proposes amendments to Rule 144 to revise the holding period determination for securities acquired upon the conversion or exchange of certain market-adjustable securities of unlisted issuers. The Commission also proposes to mandate the electronic filing of Form 144 for securities issued by reporting issuers and to eliminate the filing requirement for non-reporting issuers. Additionally, the proposal aims to streamline filing procedures by aligning the Form 144 deadline with Form 4 and allowing filers to indicate Rule 10b5-1(c) compliance.
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