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 Archstone Smith Operating Trust, §7; No Action Recommended, 9/26/2007 by Portal Admin — published Sep 26, 2007 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of new series of units of trust to be issued to its unit holders pursuant to merger to facilitate acquisition Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Associated Pharmacies, Inc., §7; §12; no action recommended, 4/7/2003 by Portal Admin — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of memberships in cooperative purchasing corporation where no potential for gain on sale of membership and ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Endowment Development Group, L.P., §5.I(a); Rule 109.13(K), 12/22/2004 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 / Interpretive and Exemptive Letters EnergyNet.com, Inc., §4.A; §12; Rule 139.12, 11/25/2003 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Dealer registration required for online Internet-based auction of oil and gas and other mineral interests. Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Equitable Divorce Strategies, L.L.C., §12, 11/25/2003 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Registration as investment adviser required for plan to offer financial advice regarding proposed divorce settlements. Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Farmers Home Holding Company, Inc., §7; §12; no action recommended, 2/24/2006 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 / Interpretive and Exemptive Letters Fidelity Advisor Government Investment Fund, §5.G; §7; no action recommended, 7/12/2006 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 / Interpretive and Exemptive Letters Fidelity Management & Research Company, §5.G; §7; no action recommended, 6/1/2006 by Portal Admin — last modified Nov 15, 2022 09:36 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 / Interpretive and Exemptive Letters Credit Suisse First Boston Capital LLC, §12; No Action Recommended, 4/12/2001 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 American Pharmacy Cooperative, Inc.; §7; §12; No Action Recommended, 7/18/2000 by Portal Admin — published Jul 18, 2000 — 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 American Pharmacy Cooperative, Inc., An Alabama corporation qualified to do business in Texas (the ... Located in Committees / Securities Law Committee / 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.