Legal Opinions

Securities Legal Opinion Letters

We draft securities opinion letters for issuers and shareholders of publicly traded companies including those listed on the NASDAQ, NYSE and Bulletin Board:

Requested by Shareholders:

Rule 144 Opinion Letters, which are required by transfer agents and brokers when clearing restricted stock under SEC Rule 144 or Rule 145.

4(a)(1) Opinion Letters, which are sometimes required if Rule 144 does not apply, such as when a Shareholder has owned restricted shares for at least two years of an issuer which is either a “shell” or not current in its reporting requirements.

Section 3(a)(10) legal opinions for Plaintiffs seeking to deposit shares of common stock awarded under a court order following a fairness hearing, and subject to the terms of a Settlement Agreement under Section 3(a)(10) of the Securities Act of 1933.

S-1 Opinion Letters for selling shareholders whose names and shares were listed in a resale S-1 registration statement, and for those shareholders who purchase S-1 stock via subscription agreement following the effective date.

Reg A Opinion letters forĀ for selling shareholders whose names and shares were listed in a resale Regulation A Offering under Tier 1 or Tier 2, and for those shareholders who purchase Reg A stock via subscription agreement following the effective date.

Requested by Issuers:

DTC Opinion Letters, which are required by the Depository Trust Company following an issuer’s reverse split.

SEC Opinion Letters associated with S-1 Registration Statements and Regulation A Offerings.

 

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