Search results 54 items matching your search terms. Filter the results Item type Select All/None Material Event Link Blog Post Page Webinar File Folder Bill case note EasyForm Committee Image Content Base News Item Collection opinion New items since Yesterday Last week Last month Ever Sort by relevance date (newest first) alphabetically CompUSA Inc., §7; no action recommended, 6/15/1993 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of guarantees to be issued by subsidiaries of CompUSA Inc. in connection with CompUSA’s issuance of senior ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Collins/Bay Island Securities LLC, §5.H; §12; Rule 109.5; Rule 139.22, 7/1/1902 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Rule 109.3 [now Rule 109.5] exemption from registration as dealer available where company would solicit investments solely from financial institutions or other ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Coil Tubing Technologies, Inc., §7; no action recommended, 9/15/1910 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of additional shares of Coil Tubing stock to be issued in connection with settlement of lawsuit. Coil Tubing ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters ClearOne Communications, Inc., §5.E; §7; no action recommended; Rule 109.1, 7/13/1905 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of stock to be issued to Texas residents in connection with a settlement of securities class action lawsuit, even ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters City of Fergus Falls, Minnesota, §5.M; §6.J; Rule 139.15, 3/1/1996 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.M available for revenue bond offering by a political subdivision of the State of Minnesota. Issuer was to use the offering proceeds to loan funds to a ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Fidelity Management & Research Company, §5.G; §7; no action recommended, 6/1/2006 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of securities to be issued by a Massachusetts business trust in connection with a merger of two trusts even ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Fidelity Advisor Government Investment Fund, §5.G; §7; no action recommended, 7/12/2006 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of shares to be issued by Massachusetts business trust in connection with a merger of two trusts even though the ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Farmers Home Holding Company, Inc., §7; §12; no action recommended, 2/24/2006 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of stock to be distributed to insurance policyholders in connection with conversion of mutual insurance company ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Ethan Allen Inc., §6.F; §7; no action recommended, 11/18/1994 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §6.F available for solicitation of consents to amend indenture governing notes by an issuer listed on NYSE and related guarantees by issuer’s subsidiaries. The ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Ethan Allen, Inc., §6.F; §7; no action recommended, 2/2/1995 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee As a supplement to no-action letter dated 11/18/94, staff confirms no action recommendation would also apply to an additional subsidiary guaranty of notes ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters < Previous 10 items 1 2 3 4 5 6 Next 10 items > Subscribe to an always-updated RSS feed.