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 Endowment Development Group, L.P., §4.A, 8/9/2005 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter See prior no action letter. Letter clarifies sequence of transactions in purchase of life settlement contracts for endowment purposes. No registration required. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Energy Co-Opportunity, Inc., §7; §12; no action recommended, 3/12/1999 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 the offer and sale by Energy Co-Opportunity, Inc. (“ECO”) of shares of membership common stock to ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters EnergyNet.com, Inc., §4.A; §12; Rule 139.12, 11/25/2003 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter Dealer registration required for online Internet-based auction of oil and gas and other mineral interests. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters EPCMS-IPA, Inc., §7; §12; no action recommended, 5/12/1994 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 to be issued by corporation to act as network of physicians and other health care providers where ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Equitable Divorce Strategies, L.L.C., §12, 11/25/2003 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter Registration as investment adviser required for plan to offer financial advice regarding proposed divorce settlements. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Ethan Allen, Inc., §6.F; §7; no action recommended, 2/2/1995 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter 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 Resources / Interpretive and Exemptive Letters Ethan Allen Inc., §6.F; §7; no action recommended, 11/18/1994 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §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 Resources / Interpretive and Exemptive Letters Farmers Home Holding Company, Inc., §7; §12; no action recommended, 2/24/2006 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 distributed to insurance policyholders in connection with conversion of mutual insurance company ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Fidelity Advisor Government Investment Fund, §5.G; §7; no action recommended, 7/12/2006 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 to be issued by Massachusetts business trust in connection with a merger of two trusts even though the ... 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 General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter 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 Resources / Interpretive and Exemptive Letters < Previous 10 items 1 ... 3 4 5 6 7 8 9 ... 26 Next 10 items > Subscribe to an always-updated RSS feed.