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Recapitalizations, Reorganizations, and Acquisitions



Rule 15c2-11 regulates the initiation or resumption of quotations in a quotation medium by a broker or dealer for certain over-the-counter securities. The Rule was designed primarily to prevent certain manipulative and fraudulent trading schemes that had arisen in connection with the distribution and trading of unregistered securities issued by shell companies.


There are three types of Rule 145 transactions: recapitalizations, mergers, and certain transfers of assets.


Regulation M-A































Delaware General Corporation Law



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