Restricted Stock & Beneficial Ownership Filings

SRFK has an efficiently-run restricted stock department that works closely with issuers, shareholders, broker dealers and transfer agents with respect to issues regarding the proposed sale or transfer of restricted securities. We help advise and guide our clients with the myriad of issues associated with restricted stock, and with their compliance with the safe harbor provisions under Rule 144 of the Securities Act of 1933. We assist shareholders with the issues associated in having restricted legends removed from their securities, and we assist issuers and Broker-Dealers clients in establishing procedures and protocols to effectively comply with applicable rules and regulations. SRFK also helps in facilitating the filings of Forms 3, 4 and 5’s, as well as Schedules 13D and 13G, when needed for client affiliates.