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Restricted Securities
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Stock Option Services
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Equity Services Team
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Investment Banking
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Merchant Banking
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Restricted Securities
For many executives who have earned stock instead of high salaries
or who were simply early investors in successful businesses they've
helped establish, selling their restricted or control securities is
about reaping the benefits of their hard work.
However, if you face this decision, regulations may seem complicated
and overwhelming since federal securities laws strictly govern transactions
involving your restricted or control securities. The Oxford Group
can review the basics and answer your questions. We can then help
you determine if you qualify to sell all or a portion of these securities
under Securities & Exchange Commission (SEC) Rules 144, 145 or 701,
which provide exemptions from registration under the federal securities
laws.
In addition, we offer restricted or control securities executions
at competitive rates and service that goes beyond simply handling
all necessary paperwork, following your trade through settlement.
Once your assets are free, The Oxford Group offers a myriad of services
to help you manage your wealth, such as strategic financial planning,
including retirement, tax and estate planning; asset allocation; asset
management; and trust services.
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