Search results 54 items matching your search terms. Filter the results Item type Select All/None EasyForm Bill Folder Event Webinar Collection Blog Post case note Image Link File Material Content Base opinion Page News Item Committee New items since Yesterday Last week Last month Ever Sort by relevance date (newest first) alphabetically Associated Pharmacies, Inc., §7; §12; no action recommended, 4/7/2003 by Portal Admin — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of memberships in cooperative purchasing corporation where no potential for gain on sale of membership and ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Assemblies of God Loan Fund, §5.R; §6.J, 1/20/1995 by Portal Admin — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §6.J available for notes offering by not-for-profit corporation organized under Missouri law exclusively for religious, charitable and educational purposes. ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters SEC Risk Alert on Investment Adviser Rule by Securities Law Committee — published Sep 22, 2022 — last modified Sep 23, 2022 10:20 PM — filed under: Securities Law Committee, Main News The SEC issued a risk alert on Monday (attached) about the new SEC’s Investment Adviser marketing rule, which becomes effective on November 4, 2022. It is ... Located in Committees / … / Securities Law Committee Resources / News SEC increases Emerging Growth Company Revenue Threshold, leaves Crowdfunding threshold unchanged. by Securities Law Committee — published Sep 20, 2022 — last modified Jan 08, 2023 10:09 PM — filed under: Securities Law Committee, Main News Per the attached release, the SEC has increased the Emerging Growth Company maximum revenue threshold to $1,235,000,000. The Crowdfunding threshold is ... Located in Committees / … / Securities Law Committee Resources / News SEC report says SEC Ombudsman neglected duties by admin — published Sep 19, 2022 — last modified Sep 23, 2022 10:17 PM — filed under: Securities Law Committee, Main News Findings Related to the Former SEC Ombudsman The U.S. Securities and Exchange Commission (SEC) Office of Inspector ... Located in Committees / … / Securities Law Committee Resources / News Fifth Circuit Opinion on Attorney Liability under Texas Securities Act by John R. Fahy — published Apr 18, 2019 — last modified Apr 18, 2019 02:32 PM — filed under: Securities Law Committee, Recently Posted Content On April 17, 2019 the Fifth Circuit Court of Appeals determined that that attorney immunity to third party claims applies to the Texas Securities Act. The ... Located in Committees / … / Securities Law Committee Resources / Blog Posts Ambac Assurance Corporation (Segregated Account) §4(C); §5(F), 11/23/2010 by Portal Admin — published Nov 23, 2010 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Wisconsin Insurance Commissioner required Ambac to establish a Segregated Account following losses inAmbac's insurance portfolio and resulting downgrades of ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters AmREIT and REIT Plus, Inc., §5.G; §7; §12; no action recommended, 6/30/2009 by Portal Admin — published Jun 30, 2009 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of shares of surviving REIT to be issued to shareholders of merging REIT where merger approved by shareholders of ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Archstone Smith Operating Trust, §7; No Action Recommended, 9/26/2007 by Portal Admin — published Sep 26, 2007 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of new series of units of trust to be issued to its unit holders pursuant to merger to facilitate acquisition Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Anthem, Inc., §6.F; §12; no action recommended, 8/8/2001 by Portal Admin — published Aug 08, 2001 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Reorganization under which mutual insurance company would convert to stock company and become subsidiary of new holding company. The conversion would be ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters < Previous 10 items 1 2 3 4 5 6 Next 4 items > Subscribe to an always-updated RSS feed.