Search results 209 items matching your search terms. Filter the results Item type Select All/None EasyForm Blog Post Page Collection News Item Webinar Content Base Committee Event File opinion Bill case note Material Image Folder Link New items since Yesterday Last week Last month Ever Sort by relevance date (newest first) alphabetically American Pharmacy Service Corporation; §7; §12; No Action Recommended, 6/29/2001 by Portal Admin — published Jun 29, 2001 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Your letter and supplemental materials indicate that American Pharmacy Services Corporation ("APSC" or "Cooperative"), a Kentucky corporation, was formed for ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters American Rivers Oil Company; §5.G, 9/28/1999 by Portal Admin — published Sep 28, 1999 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee The materials describe the first proposed transaction (the "Merger") pursuant to which American Rivers Oil Company ("Wyoming"), a Wyoming corporation, will ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Anthem, Inc., §6.F; §12; no action recommended, 8/8/2001 by Portal Admin — published Aug 08, 2001 — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Reorganization under which mutual insurance company would convert to stock company and become subsidiary of new holding company. The conversion would be ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters Energy Co-Opportunity, Inc., §7; §12; no action recommended, 3/12/1999 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 the offer and sale by Energy Co-Opportunity, Inc. (“ECO”) of shares of membership common stock to ... Located in Committees / Securities Law Committee / Interpretive and Exemptive Letters CoreStates Securities Corp, §5.H; Rule 109.3 [now Rule 109.4(b)], 10/13/1997 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.H available for those members of the sales force of a registered broker-dealer in Texas who confine their activities to dealing solely with institutional ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters CRF Lodging Company, L.P., §5.F; §5.G, 2/6/1998 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.F and §5.G unavailable for the proposed offer and sale of units of limited partnership interests in CRF Lodging Company, L.P., a Delaware limited ... 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 Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee 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 Green Bay Packers, Inc., §7; §12; no action, 11/10/1997 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 the offer and sale of shares of the Green Bay Packers, Inc., a Wisconsin nonprofit corporation (the ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Grubb & Ellis Company, §5.R; §6.F, 5/6/1998 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §6.F and §5.R available to exempt from securities and dealer registration the offering of options to purchase common stock of Grubb & Ellis Company (the ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Atlanta Marriott Marquis II Limited Partnership §5(G) 11/21/1997 by Portal Admin — last modified Nov 15, 2022 09:35 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee § 5.G unavailable for the proposed sale or transfer of limited partnership interests of one Delaware limited partnership (the “Surviving Partnership”) in ... 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.