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 Financial Products, LLC, §5.H; Rule 109.5, 2/14/2011 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter Firm was a "wholesaler" formed to market registered securities products issued by third parties to registered broker dealers and registered investment advisory ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Financial Service Corporation, §5.C(1); §5.O, 10/8/1993 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.C(1) not available for secondary sales of issuer’s common stock by employees of the issuer and representatives associated with the issuer’s broker-dealer ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters First Portfolio Funding LLC, §7; §12; no action recommended, 7/1/2003 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 memberships in insurance premium finance company where each member's share of profits directly related to that ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters First Portfolio Funding, Ltd., §7; §12; no action recommended, 1/16/2004 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter See prior letter dated 07/01/93. Change to limited partnership form would not change prior no-action position regarding registration of the limited ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters First San Benito Bancshares Corporation, §5.I; §7; §12; no action recommended; Rule 109.13, 11/17/2010 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 bank holding company common stock to be issued in substantial compliance with Rule 109.13 even though sales by ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters First Victoria National Bank, §4.C;§12; Rule 107.2, 4/18/1995 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter A bank operating a cash sweep program in which deposits from commercial customers above an established threshold would be swept into an investment account ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Firstar Trust Company Administration of a Dividend Reinvestment And Common Stock Purchase Plan, §4.C, 3/24/1997 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter As administrator of a dividend reinvestment and stock repurchase plan, Firstar Trust Company (“Firstar”) would have contacts in various ways with the ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Foremost Physicians Management Company; Foremost Physicians, IPA, §7; §12; Rule139.2; no action recommended, 3/2/1995 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 perform administrative functions in support of a network of physicians ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Fourth Financial Corporation, §5.G(a); §6.F; §5.R, 12/7/1993 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §5.G(a) available for issuance of securities to shareholders of a savings and loan holding company acquired in a merger transaction. Accordingly, the holding ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Fourth Financial Corporation, §6.F; §5.R; §5.G, 6/17/1993 by General Counsel of TSSB — last modified Mar 21, 2019 02:02 AM — filed under: TSSB Interpretive Letter §6.F and §5.R as well as §5.G available for a merger of a bank holding company with a subsidiary of a bank holding company where merger consideration was ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters < Previous 10 items 1 ... 4 5 6 7 8 9 10 ... 26 Next 10 items > Subscribe to an always-updated RSS feed.