Series 79: Resales By Control Persons Selling Restricted Securities

Taken from our Series 79 Top-off Online Guide

Resales by Control Persons Selling Restricted Securities

Resales of restricted securities by control persons are subject to the same holding period requirements as resales by non-control persons—6 months for current reporting companies, 12 months for others—as well as 4 additional conditions:

• Adequate current information. “Adequate current public information” about the issuer must be available. Normally, this means that the issuer must be a reporting company that is current in its filing requirements. If the issuer is a non-reporting company, adequate current information about the issuer, comparable to information found in SEC reports, must be p

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