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 Austin Diagnostic Clinic Association, §7; §12; no action recommended, 3/24/1997 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 the distribution of limited partnership interests as bonus compensation to existing shareholders of Austin ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Beazer Homes U.S.A. Inc. §6(F) §7 Rule 111.2 No Action Recommended 1/27/1994 by Portal Admin — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §6.F available for issuance of senior notes by an issuer approved for listing on NYSE which were guaranteed by issuer’s subsidiaries. The subsidiary guarantees ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Bryan-College Station Financial Holding Company, §7; §12; no action recommended, 10/17/1997 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 the issuance of shares of a proposed thrift holding company conducting a public offering registered with the ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters C.S.B. Bancshares, Inc., §5.G, 5/19/1993 by Portal Admin — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.G available for reorganization by merger of a bank into a single bank holding company in which shareholders of the bank may exchange their shares of bank ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Endowment Development Group, L.P., §5.I(a); Rule 109.13(K), 12/22/2004 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Plan to market insured endowment programs to charities and their patrons offered under Rule 505 of Regulation D and Texas Securities Board Rule 109.13(k) ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Energy Co-Opportunity, Inc., §7; §12; no action recommended, 3/12/1999 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 the offer and sale by Energy Co-Opportunity, Inc. (“ECO”) of shares of membership common stock to ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters EnergyNet.com, Inc., §4.A; §12; Rule 139.12, 11/25/2003 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Dealer registration required for online Internet-based auction of oil and gas and other mineral interests. Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters EPCMS-IPA, Inc., §7; §12; no action recommended, 5/12/1994 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 corporation to act as network of physicians and other health care providers where ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Equitable Divorce Strategies, L.L.C., §12, 11/25/2003 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Registration as investment adviser required for plan to offer financial advice regarding proposed divorce settlements. 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 4 items > Subscribe to an always-updated RSS feed.