Tuesday, June 30, 2020 11:49:24 AM
How?
The security seller needs to comply with the rule.
"A selling security holder that does not comply with Rule 144 and does not have an alternative available exemption from registration requirements may be deemed an underwriter that has sold without registration."
Are you in possession of a signed note or not?
“Bad men need nothing more to compass their ends, than that good men should look on and do nothing.”
John Stuart Mill....1867
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