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SEC RIN: 3235-AM78 Publication ID: Spring 2021 
Title: Rule 144 Holding Period and Form 144 Filings 
Abstract:

The Division is considering recommending that the Commission adopt amendments to Rule 144, a non-exclusive safe harbor that permits the public resale of restricted or control securities if the conditions of the rule are met, and rule amendments to update the electronic filing requirements applicable to Form 144.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 230.144    17 CFR 232.101    17 CFR 239.144    17 CFR 249.104   
Legal Authority: 12 U.S.C. 5461 et seq.    15 U.S.C. 77b    15 U.S.C. 77b note    15 U.S.C. 77c    15 U.S.C. 77d    15 U.S.C. 77f    15 U.S.C. 77g    15 U.S.C. 77h    15 U.S.C. 77j    15 U.S.C. 77r    15 U.S.C. 77s    15 U.S.C. 77s(a)    15 U.S.C. 77z-2    15 U.S.C. 77z-3    15 U.S.C. 77sss    15 U.S.C. 77sss(a)    15 U.S.C. 78a et seq.    15 U.S.C. 78c    15 U.S.C. 78c(b)    15 U.S.C. 78d    15 U.S.C. 78j    15 U.S.C. 78l    15 U.S.C. 78m    15 U.S.C. 78n    15 U.S.C. 78o    15 U.S.C. 78o-7 note    15 U.S.C. 78o(d)    15 U.S.C. 78t    15 U.S.C. 78u-5    15 U.S.C. 78w    15 U.S.C. 78w(a)    15 U.S.C. 78ll    15 U.S.C. 78ll(d)    15 U.S.C. 78mm    15 U.S.C. 80a-2(a)    15 U.S.C. 80a-3    15 U.S.C. 80a-6(c)    15 U.S.C. 80a-8    15 U.S.C. 80a-9    15 U.S.C. 80a-10    15 U.S.C. 80a-13    15 U.S.C. 80a-24    15 U.S.C. 80a-26    15 U.S.C. 80a-28    15 U.S.C. 80a-29    15 U.S.C. 80a-30    15 U.S.C. 80a-37    15 U.S.C. 7201 et seq.    18 U.S.C, 1350    sec. 953(b) Pub. L. 111-203, 124 Stat. 1904    sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012)    sec. 107 Pub. L. 112-106, 126 Stat. 313 (2012)    sec. 201(a) Pub. L. 112-106, 126 Stat. 313 (2012)    sec. 401 Pub. L. 112-106, 126 Stat. 313 (2012)    sec. 72001 Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted    ...   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  01/19/2021  86 FR 5063   
NPRM Comment Period End  03/22/2021 
Final Action  10/00/2021 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
John Fieldsend
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3430
Email: fieldsendj@sec.gov