Rule 144
E271832
Rule 144 is a U.S. Securities and Exchange Commission regulation that provides a safe harbor for the public resale of restricted and control securities if specific holding period, volume, and disclosure conditions are met.
All labels observed (2)
| Label | Occurrences |
|---|---|
| Rule 144 canonical | 1 |
| Rule 144 resale safe harbor | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T2504808 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Rule 144 Context triple: [Rule 144A, relatedTo, Rule 144]
-
A.
Rule 144A
Rule 144A is a U.S. Securities and Exchange Commission safe harbor rule that facilitates the private resale of restricted and control securities to qualified institutional buyers, enhancing liquidity in the private capital markets.
-
B.
Regulation G
Regulation G was a former Federal Reserve Board regulation that governed the extension of credit by lenders other than banks and brokers for the purpose of purchasing or carrying securities, complementing margin rules like Regulation T.
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C.
Rule 44
Rule 44 is a provision of the Federal Rules of Criminal Procedure that governs the right to and appointment of counsel for defendants in federal criminal cases, including issues of joint representation and potential conflicts of interest.
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D.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
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E.
Regulation J
Regulation J is a Federal Reserve regulation that governs the collection of checks and other cash items and the handling of wire transfers through the Federal Reserve Banks.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Rule 144 Target entity description: Rule 144 is a U.S. Securities and Exchange Commission regulation that provides a safe harbor for the public resale of restricted and control securities if specific holding period, volume, and disclosure conditions are met.
-
A.
Rule 144A
Rule 144A is a U.S. Securities and Exchange Commission safe harbor rule that facilitates the private resale of restricted and control securities to qualified institutional buyers, enhancing liquidity in the private capital markets.
-
B.
Regulation G
Regulation G was a former Federal Reserve Board regulation that governed the extension of credit by lenders other than banks and brokers for the purpose of purchasing or carrying securities, complementing margin rules like Regulation T.
-
C.
Rule 44
Rule 44 is a provision of the Federal Rules of Criminal Procedure that governs the right to and appointment of counsel for defendants in federal criminal cases, including issues of joint representation and potential conflicts of interest.
-
D.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
-
E.
Regulation J
Regulation J is a Federal Reserve regulation that governs the collection of checks and other cash items and the handling of wire transfers through the Federal Reserve Banks.
- F. None of above. chosen
Statements (49)
| Predicate | Object |
|---|---|
| instanceOf |
SEC rule
ⓘ
U.S. securities regulation ⓘ |
| administeredBy |
Securities and Exchange Commission
ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| affects | liquidity of privately placed securities ⓘ |
| amendedBy | SEC rulemaking in 2007–2008 to shorten holding periods ⓘ |
| appliesTo |
affiliates of an issuer
ⓘ
non-affiliates of an issuer ⓘ resales in the public markets ⓘ securities issued by non-reporting companies ⓘ securities issued by reporting companies ⓘ |
| citation | 17 C.F.R. § 230.144 ⓘ |
| clarifies | when resale of restricted securities is not a distribution ⓘ |
| codifiedIn |
U.S. Securities Act of 1933
ⓘ
surface form:
Securities Act of 1933 regulations
|
| currentPublicInformationRequirement | issuer must have information publicly available ⓘ |
| defines |
conditions under which a seller is not deemed an underwriter
ⓘ
control securities ⓘ restricted securities ⓘ |
| doesNotApplyTo | registered public offerings ⓘ |
| effectiveDateOfMajorAmendments | February 15, 2008 ⓘ |
| exempts | non-affiliates from volume limits after applicable holding period and other conditions are met ⓘ |
| holdingPeriodForNonReportingIssuers | one year for restricted securities ⓘ |
| holdingPeriodForReportingIssuers | six months for restricted securities held by non-affiliates ⓘ |
| includesCondition |
current public information requirement
ⓘ
holding period requirement ⓘ manner of sale requirement ⓘ notice of sale requirement ⓘ trading volume limitation ⓘ |
| interactsWith |
Regulation D private offerings
ⓘ
Rule 144A for resales to qualified institutional buyers ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| legalBasis |
U.S. Securities Act of 1933
ⓘ
surface form:
Securities Act of 1933
|
| limits | the amount of securities affiliates may sell during any three-month period ⓘ |
| mannerOfSaleRequirement | brokers’ transactions for equity securities of affiliates ⓘ |
| objective | to facilitate capital formation while protecting investors ⓘ |
| primaryPurpose |
to provide objective standards for resales of restricted and control securities
ⓘ
to reduce uncertainty about when a person is an underwriter ⓘ |
| provides | safe harbor for certain resales of restricted and control securities ⓘ |
| regulates |
public resale of control securities
ⓘ
public resale of restricted securities ⓘ |
| relatedTo | Section 2(a)(11) of the Securities Act of 1933 ⓘ |
| requires |
Form 144 filing for certain sales by affiliates
ⓘ
aggregation of sales for volume limitation calculations ⓘ minimum holding period for restricted securities ⓘ |
| safeHarborFor | resales that might otherwise be considered distributions ⓘ |
| safeHarborStatus | non-exclusive ⓘ |
| usedBy |
insiders seeking to sell control securities
ⓘ
investors holding restricted stock certificates ⓘ |
| volumeLimitationBasis |
1 percent of the outstanding shares of the same class
ⓘ
average weekly trading volume during the four weeks preceding the filing of Form 144 ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Rule 144 Description of subject: Rule 144 is a U.S. Securities and Exchange Commission regulation that provides a safe harbor for the public resale of restricted and control securities if specific holding period, volume, and disclosure conditions are met.
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.
this entity surface form:
Rule 144 resale safe harbor