Search results 209 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 Green Bay Packers, §7; §12; no action recommended, 11/4/2011 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of new stock to be issued by Green Bay Packers, Inc. The shares could not be sold or transferred, could not be ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Ambac Assurance Corporation (Segregated Account) §4(C); §5(F), 11/23/2010 by Portal Admin — published Nov 23, 2010 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Wisconsin Insurance Commissioner required Ambac to establish a Segregated Account following losses inAmbac's insurance portfolio and resulting downgrades of ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters AmREIT and REIT Plus, Inc., §5.G; §7; §12; no action recommended, 6/30/2009 by Portal Admin — published Jun 30, 2009 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of shares of surviving REIT to be issued to shareholders of merging REIT where merger approved by shareholders of ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters ClearOne Communications, Inc., §5.E; §7; no action recommended; Rule 109.1, 7/13/1905 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 Collins/Bay Island Securities LLC, §5.H; §12; Rule 109.5; Rule 139.22, 7/1/1902 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 D.R. Saur Financial, Inc., §4.N; §4.P; §12; no action recommended, 10/13/1904 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 Gemalto N.V., §7; §12; no action recommended, 6/14/2006 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of shares to be issued by non-reporting foreign corporation in exchange for shares issued by reporting foreign ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Graylor Electric Company, Inc., §5.I(b); §5.E, §7; §12; no action recommended, 10/25/2006 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of common stock to be issued under employee stock purchase plan even though stock could be purchased by Texas ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters H.S. Dent Investment Management L.L.C., §5.H; Rule 109.6, 7/1/2002 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.H exemption under former Rule 109.3 [now 109.6] not available for advice provided to registered investment advisers unless such investment advisors are also ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters < Previous 10 items 1 2 3 4 5 6 7 ... 21 Next 10 items > Subscribe to an always-updated RSS feed.