Portfolio 46-3rd: Resales of Restricted Securities Under SEC Rules 144 and 144A

Wks. 1 Rule 144 Interpretive Release

Wks. 2 SEC Rule 144

Wks. 3 Form 144

Wks. 4 SEC Release Shortening the Minimum Holding Period on Privately Acquired Stock Under Rules 144 and 145

Wks. 5 Checklist

Wks. 6 Broker's Certificate

Wks. 7 Market Maker's Certificate

Wks. 8 Opinion of Issuer's Counsel

Wks. 9 Customer’s Representation Letter

Wks. 10 Seller’s Representation Letter to Issuer

Wks. 11 SEC Rule 144A

Wks. 12 SEC Release Adopting Rule 144A