Search results 54 items matching your search terms. Filter the results Item type Select All/None Blog Post News Item Folder Image Bill Material Collection Webinar Event Content Base opinion Page File case note EasyForm Committee Link New items since Yesterday Last week Last month Ever Sort by relevance date (newest first) alphabetically 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 Corpus Christi National Bank, §7; no action recommended, 1/7/1993 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 shares of common stock of MCorp Financial, Inc., a debtor-in-possession under Chapter 11 of theBankruptcy Code ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters County of Mesa, Colorado, §5.M; §7; no action recommended, 2/17/1994 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.M available for revenue bond offering by a political subdivision of the State of Colorado. Issuer was to re-loan the offering proceeds to a 501(c)(3) ... Located in Committees / … / Securities Law Committee Resources / 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 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 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 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 Dean Witter Financial Services Group, Inc., §5.I(b), 6/3/1993 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.I(b) available for the sales of interests in an unfunded deferred compensation plan to employees of the issuer and its subsidiaries. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Fourth Financial Corporation, §6.F; §5.R; §5.G, 6/17/1993 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §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 2 3 4 5 6 Next 10 items > Subscribe to an always-updated RSS feed.