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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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2001 Legal Opinions and No Action Letters
01-010
12/18/01
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Associated Pharmacies, Inc.
Securities
No action request for Associated Pharmacies, Inc.
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01-009
10/03/01
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The Secure Group, L.L.C.
Securities
Request interpretive opinion regarding whether company is covered by the Securities Act as a viatical settlement provider because it brokers whole life policies and not pooled or fractionalized policies.
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01-008
10/03/01
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Arkansas Security Capital Corporation
Securities
Request interpretive opinion regarding integration of two 506 Reg D offerings more than 6 months apart and then an intrastate public offering registered by qualification.
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01-006
07/27/01
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Arkansas Physicians Management, Inc.
Securities
Request no action that shareholder is not an issuer even though he is a director. Shareholder owns 3% of outstanding stock.
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01-005
07/06/01
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TruServ Corporation
Securities
Cooperative hardware company requires ownership in Common Stock to gain membership in coop. Request no action opinion that stock is not a security.
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01-004
06/25/01
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Anthem Insurance Companies, Inc.
Securities
Conversion of a mutual insurance company to a stock insurance company.
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01-003
05/29/01
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Union Power Partners, L.P.
Mortgage Loan Company
Request for opinion on whether a consortium of banks, or Citibank, N.A., as its administrator, must be registered as a mortgage loan company.
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01-002
04/25/01
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Collins Bay Island Securities
Securities
Request for opinion that company is exempt from registration in Arkansas as a broker-dealer as defined and provided for by the Arkansas Securities Act.
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01-001
01/23/01
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Principal Mutual Holding Company
Securities
Conversion of a mutual life insurance company to a stock life insurance company.
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