February 26, 2021

Resales of Restricted Securities

Resales of Restricted Securities

February 26, 2021

This CLE webinar will examine the existing regulatory framework around "restricted securities," and the avenues available for their sale, including the Rule 144 safe harbor and other exemptions. The program will address the role of intermediaries in facilitating these transactions and interesting issues involving resales of shares in pre-IPO "unicorn" companies. The panel will also discuss the contractual restrictions that issuers often place on the transfer of restricted securities and opinion considerations.

Panelists:

  • Jay H. Knight (moderator), Bass, Berry & Sims PLC, Nashville, TN
  • Gary Ross, Ross Law Group, PLLC, New York, NY
  • C. Alex Bahn, Hogan Lovells, Washington, DC
  • Linda Lerner,  Halloran Farkas Kittila LLP, New York, NY

Presented by: Federal Regulation of Securities Committee

Members of the Business Law Section may access the audio, program materials, and video from this program. Log in using your email address. CLE credit is only available to those attending the live programs.