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Can I sell securities to an Employee Benefits Plan without registration?

April 26, 2017employee benefits Plan registration securities sell

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Can I sell securities to an Employee Benefits Plan without registration?

1 Answer

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Yes, if you follow Rule 701 of the Act. This exemption is available only to companies that are not subject to Exchange Act reporting requirements and is limited to offers and sales of $5 million or less. Employees receive restricted securities and may not freely offer or sell them to the public.