98-015
12/14/98
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Dixie Crossroads, LLC
Rule 504.01(A)(12)(a)
Request for an interpretation of the word "person" as that term is used in Rule 504.01(A)(12)(a) of the Rules of the Arkansas Securities Commissioner.
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98-014 Supp
2/10/99
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Millennium Capital Advisors, Inc.
A.C.A. § 23-42-102(8)
Letter to clarify the Department's position regarding the propriety of payment by Milennium Capital Advisors, Inc. for the solicitation of customers as outlined in No Action No. 98-014.
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98-014
11/23/98
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Millennium Capital Advisors, Inc.
A.C.A. § 23-42-102(8)
Request for Department's position regarding the propriety of payment by a registered investment adviser to individuals who are not registered as investment adviser representatives for the solicitation of customers.
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98-013
10/6/98
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Southern Bank of Commerce
A.C.A. § 23-42-509(d)
Request for no action that no notice filing is required for covered securities, which are securities exempt under (3)(a)(2) of the Securities Act of 1933.
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98-012
7/24/98
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Warren Swift Ltd.
A.C.A. § 23-42-102(13)
Rule 504.01(A)(12)(a)
Request no action that organization of LP exempt under Rule 504.01(A)(12)(a) and subsequent transfer of securities by gift is not a sale and does not violate investment intent.
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98-011
7/10/98
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University Alumni Funds LLC
A.C.A. § 23-42-301
Request for no-action that company will not be required to registered as a broker-dealer. Staff will not recommend no-action.
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98-010
7/9/98
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Hughes Transport, Inc.
A.C.A. § 23-42-504(a)(12)
Rule 504.01(A)(12)(1)
No action that commission to real estate agent is not indirect commission on sale of security involving sale of business.
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98-009
6/11/98
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Gruntal & Co., LLC
A.C.A. § 23-42-301
No action request to not require registration of retired agents who participate in this plan.
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98-008
5/21/98
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Designs In Glass, Inc.
A.C.A. § 23-42-504(a)(12)
Rule 501.01(A)(1)(1)
100% sale of business, seller will maintain position on Board and receive a 5 year promissory note.
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98-007
5/19/98
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Mark VIII Corporation
James Moore
A.C.A. § 23-42-102(8)(D)
Request denied for no-action. Requesting no-action that registration as an investment adviser is not needed when advice is given over the internet, but not based on individual client's needs. Moore is registered agent and will receive compensation.
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98-006
4/8/98
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Cornerstone Management Partners, Inc.
A.C.A. § 23-42-503(b)
Rule 503.01(B)
Integration issues regarding 23-42-503(b) public offering exemption.
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98-005
3/31/98
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Department of Transportation, Hawaii
A.C.A. § 23-42-509
Requesting no-action that guaranty of revenue bonds by Continental Airlines not treated as separate security. Bonds are covered security. Guaranty should be covered security because stock of Continental is listed on NYSE.
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98-004
3/16/98
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Cooper Cameron Corporation
A.C.A. § 23-42-102(15)(A)(i)
Requesting no action that notes in this transaction not considered securities, but commercial transaction with bank.
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98-003
2/23/98
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Clear Sky
Rule 204.01(A)(4)
No action allowing typed signatures instead of manual and notarized signatures.
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98-002
1/13/98
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Thomas Cook Group, Ltd.
A.C.A. § 23-41-101, et seq.
Cross reference to American Express. Both companies have foreign subsidiaries and affiliates that would not normally generate audited financials when they are called for here. We will let them file those later, but require them to file interims on time.
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98-001
1/9/98
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Standard & Poor's Standard Corporation Records
A.C.A. § 23-42-504(a)(2)
Request interpretation of statute - Does the manual exemption include electronic dissemination of same info included in print version?
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