Legal Alert

SEC’s Division of Corporation Finance Provides Statement to Those Affected by COVID-19 Regarding Form 144 Paper Filing Requirements

April 13, 2020

On April 10, 2020, the Securities and Exchange Commission’s (Commission) Division of Corporation Finance announced that it will not recommend enforcement action to the Commission if Forms 144 filed on paper under Rules 101(b)(4) or 101(c)(6) of Regulation S-T are submitted via email in lieu of mailing or delivering the paper form to the Commission if the filer or submitter attaches a complete Form 144 as a PDF attachment to an email sent to

The Division of Corporation Finance further announced that it will not recommend enforcement action to the Commission if the filer or submitter is unable to provide a manual signature on the Form 144 submitted by email, so long as certain requirements are met.

This announcement covers only those who submit Forms 144 between April 10, 2020 and June 30, 2020. The full announcement can be found here.

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