For company executives and individuals who own control and/or restricted securities, we maintain
a proud tradition of excellent service and skillful execution. Whether you are an affiliate (or other
control person) or non-affiliate, we can assist you with liquidations of all types of control or
restricted securities, including strategies for hedging large concentrations of single stock investments.
Our Financial Consultants can also assist you with Rule 10b5-1 transactions, which allow you to
buy or sell securities during quiet periods when other avenues are not available to you.
Restricted securities are securities from an issuer or an affiliate of an issuer acquired in a
non-public transaction. Control securities are securities owned by anyone who controls the
affairs of the issuing company. Federal securities laws strictly regulate the sale of these securities,
but when certain conditions are met, SEC Rule 144 allows holders of restricted or control stock to sell
in the open market. Whatever your situation is, we'll help make the most of the shares you've worked
hard to earn.
Although trading of restricted and control securities can be complicated, dealing with us is simple.
Our Financial Consultants will work with you to assure compliance with these conditions and rules.
For complete investment services, including the selling of control and/or restricted securities,
your RBC Dain Rauscher Financial Consultant is there to answer your questions, provide step-by-step service
and make sure your financial goals are being met. Because at RBC Dain Rauscher, we not only know financial
regulations and procedures, we make it a point to know our clients and their needs, and provide
personalized ongoing attention to their individual situation and goals. |
