Section 4 A 1

The section 4 1 private resale exemption is not formally established by any written sec rule or regulation.

Section 4 a 1. Section 4 a 1 provides an exemption for a transaction by a person other than an issuer underwriter or dealer. Section 4 1 what has come to be known as a section 4 1 or section 4 a 1 transaction is a private resale of restricted securities that technically relies on the section 4 a 1 registration exemption. Section 4 a 1 of the securities act formerly section 4 1 but redesignated section 4 a 1 by the jobs act provides an exemption from registration under the securities act for transactions by any person who is not an issuer underwriter or dealer.

Section 2a swap agreements. Section 4 exempted transactions. Section 1 short title.

Section 2 definitions. In the event that rule 144 is unavailable a holder of securities may still rely upon section 4 a 1. Rule 144 provides a non exclusive safe harbor for the sale of securities under section 4 a 1.

An exemption commonly relied upon for the resale of the securities is section 4 a 1 of the securities act which is available to any person other than an issuer underwriter or dealer. It has developed over time and is only discussed in case law. Section 4 a 1.

Section 230 506 of title 17 code of federal regulations as revised pursuant to this section shall continue to be treated as a regulation issued under section 4 2 of the securities act of 1933 now 15 u s c. Sometimes known as the ordinary trading exemption section 4 a 1 is a commonly used resale exemption. Section 3 classes of securities under this title.

Accredited investors each purchaser must be an accredited investor within the meaning of regulation d. Section 4 a 1 of the securities act of 1933 securities act provides an exemption for a transaction by a person other than an issuer underwriter or dealer rule 144 provides a non exclusive safe harbor for the sale of securities under section 4 a 1. Promotion of efficiency competition and capital formation.