Restricted Securities - Rule 144

Restricted Securities - Rule 144

Assessment

Interactive Video

Business

University

Hard

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The video tutorial explains the concept of restricted securities, highlighting their temporary nature based on company characteristics. It covers Rule 502, which prohibits immediate resale and places responsibility on companies to ensure compliance. Rule 144 is introduced as a safe harbor, allowing securities to be traded after a waiting period if sufficient public information is available.

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2 questions

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1.

OPEN ENDED QUESTION

3 mins • 1 pt

How does the availability of public information affect the resale of restricted securities?

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2.

OPEN ENDED QUESTION

3 mins • 1 pt

What is meant by 'straw transaction' in the context of restricted securities?

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