SEC filings (U.S. Securities and Exchange Commission)

a tip for selling to consumers

If you sell to high net worth individuals (or soon-to-be high net worth individuals), then research the SEC for filings pursuant to Rule 144. When someone wants to sell shares of stock that are restricted or controlled in some way, the shareholder must file a Form 144 for an exemption from the SEC to sell the shares, and certain conditions must be met to obtain the exemption. A common example of a Rule 144 security sale is an executive with a company that recently went public who wants to sell some of his or her shares that were restricted as part of the initial public offering.

Search http://www.sec.gov for recent Form 144 filings. The time between the filing and when the shareholder will receive money from the shares sold will vary, and may be several months.

This is a classic event to prompt sales opportunities for those who sell financial planning, investment services, insurance, accounting services, estate planning, and trust and legal work.

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