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Arkansas Securities Department
A. Heath Abshure,
Commissioner
Heritage West Building, Suite 300
201 East Markham Street
Little Rock, Arkansas 72201-1692
Main Telephone: (501) 324-9260 Facsimile:
(501) 324-9268 Hotline: (800) 981-4429 |
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2000 Legal Opinions and No Action Letters
00-014
12/11/00
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Blind Hog Hunting Club
Securities
Request for no action in organization of hunting club.
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00-013
11/29/00
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Prudential Insurance Company of America
Securities
Demutualization of mutual life insurance company to stock life insurance company.
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00-012
11/22/00
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American Payment Systems, Inc.
Sale of Checks Act
Application of Sale of Checks Act to payment of bills to agent of bill paying company when funds transmitted electronically.
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00-011
10/20/00
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Lathrop & Gage
Mortgage Loan Company
Loan Broker's registration certificate opinion letter.
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00-010
10/16/00
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Phoenix Home Life Mutual Insurance Company
Securities
Request for No Action Letter for conversion of Phoenix Home Life Mutual Ins. Co. to a stock life insurance company
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00-009
9/14/00
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Confinity, Inc. and Dynamic Transactions, Inc.
Sale of Checks Act
Arkansas "Sale of Checks Act", Ark. Code Ann. §§ 23-41-101, et seq., with regard to PayPal service offered by Confinity, Inc. and PayPlace service offered by Dynamic Transactions, Inc.
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00-008
9/14/00
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The Lutheran Church-Missouri Synod Foundation
Securities
Request no action that its activities under the Philanthropy Protection Act does not involve the issuance of securities under the Arkansas Securities Act.
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00-007
08/11/00
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F. O. Advertising, Inc.
Securities
Legal opinion that sole shareholder can rely on exemption for additional sales by existing issuer under Rule 504.01(a)(12)(i).
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00-006
08/11/00
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Todd L. Griffin, Attorney at Law
Mortgage Loan Company and Loan Broker Act
Interpretation of A. C. A. § 23-39-306(a)(2), exemption from registration for attorneys.
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00-005
08/08/00
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ClearSky
Securities
Request no action position with respect to filing of sales reports for covered securities.
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00-004
5/11/00
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BMA Financial Services, Inc.
John Long
Securities
"Single case exception" to the agent registration requirements of the Arkansas Securities Act.
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00-003
3/7/00
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Mortgage Loan Company and Loan Broker Act
Registration requirements for a web-based business.
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00-002
2/14/00
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Southern States Cooperative, Inc.
Securities
Request clarification that employees performing clerical functions are not required to register as agents. Individuals accepting offers and answering non-clerical inquiries will register as agents of the issuer.
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00-001
1/3/00
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Energy Co-Opportunity, Inc.
Securities
Request for interpretive opinion that ECO's Membership Common Stock does not constitute a security pursuant to A.C.A. § 23-42-102(15).
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