Search results 252 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 ClearOne Communications, Inc., §5.E; §7; no action recommended; Rule 109.1, 7/13/1905 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter 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 Coil Tubing Technologies, Inc., §7; no action recommended, 9/15/1910 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter 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 Collins/Bay Island Securities LLC, §5.H; §12; Rule 109.5; Rule 139.22, 7/1/1902 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter 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 CompUSA Inc., §7; no action recommended, 6/15/1993 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter 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 Cookson America, Inc., §5.I(b); Rule 109.13(g), 4/10/1996 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.I(b) available for sales of interests in a 401(k) savings plan and master savings trust offered to employees of the plan’s sponsor and its subsidiaries. The ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters CoreStates Securities Corp, §5.H; Rule 109.3 [now Rule 109.4(b)], 10/13/1997 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.H available for those members of the sales force of a registered broker-dealer in Texas who confine their activities to dealing solely with institutional ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Corpus Christi National Bank, §7; no action recommended, 1/7/1993 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter No action recommended to require registration of shares of common stock of MCorp Financial, Inc., a debtor-in-possession under Chapter 11 of theBankruptcy Code ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters County of Mesa, Colorado, §5.M; §7; no action recommended, 2/17/1994 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.M available for revenue bond offering by a political subdivision of the State of Colorado. Issuer was to re-loan the offering proceeds to a 501(c)(3) ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Credit Suisse First Boston Capital LLC, §12; No Action Recommended, 4/12/2001 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter Dealer registration required for a company operating an OTC derivatives business effecting transactions through registered dealer affiliated with the company. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters CRF Lodging Company, L.P., §5.F; §5.G, 2/6/1998 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.F and §5.G unavailable for the proposed offer and sale of units of limited partnership interests in CRF Lodging Company, L.P., a Delaware limited ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters < Previous 10 items 1 2 3 4 5 6 7 ... 26 Next 10 items > Subscribe to an always-updated RSS feed.