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 D.R. Saur Financial, Inc., §4.N; §4.P; §12; no action recommended, 10/13/1904 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter No action recommended to require registration as investment adviser or investment adviser representative of credit unions that referred clients to registered ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Dallas Pistol Club, Inc., §7; §12; No Action Recommended, 4/26/2004 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 interest bearing bonds by club formed as non-profit Texas corporation through issuer and exempt from taxation ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Daniel A. Breen, III; DB3 Holdings Corp.; Skiles Partners, L.P.; and Furtherfield Partners, L.P., Rules 109.3(c) [now Rule 109.6(b)] and 139.1(b), 7/7/1997 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter The staff determined that Rule 139.1(b), which excepted from the investment-adviser registration requirements any person that renders investment advice to any ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Dean Witter Financial Services Group, Inc., §5.I(b), 6/3/1993 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.I(b) available for the sales of interests in an unfunded deferred compensation plan to employees of the issuer and its subsidiaries. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Development Authority of Burke County, §5.M; §7; no action recommended, 11/22/1994 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.M available for bond offering by a public body, corporate and politic of the State of Georgia. Issuer was to re-loan the offering proceeds to an electric ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Development Authority of Burke County, §5.M; §7; no action recommended, 11/18/1993 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.M available for bond offering by Development Authority of Burke County (“DABC”), a public body, corporate and politic of the State of Georgia. DABC was to ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Dormitory Authority of the State of New York, §5.M; no action recommended, 2/20/1997 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.M available for the issuance of bonds by a public benefit corporation of the State of New York created to finance and construct public-purpose facilities ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Dormitory Authority of the State of New York, §5.L; §5.M; no action recommended, 7/11/1996 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.M available for the issuance of bonds by a public benefit corporation of the State of New York created to finance and construct public-purpose facilities ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Elite Premium Finance, Ltd., §7; §12; no action recommended, 7/30/2004 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 limited partnership interests to be issued by premium finance partnership, where members must be licensed ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Endowment Development Group, L.P., §5.I(a); Rule 109.13(K), 12/22/2004 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter 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 Resources / Interpretive and Exemptive Letters < Previous 10 items 1 2 3 4 5 6 7 8 ... 26 Next 10 items > Subscribe to an always-updated RSS feed.