Arizona No Action Letters

 

 Statute 

Name of No Action Letter

CCH Blue Sky Law Reporter Paragraph
 Atlas Resources Series 28-2010 L.P., August 2017 
A.R.S. §44-1801(9)-Definition of dealer
Norwest, December 1990
John Levins, November 1993
Bank Julius Baer, September 1996
Zap.com, Inc., June 2000
not printed
9658
9661
not printed
9696
9696O
9696W
9696Y
9703
A.R.S. §44-1801(21)-Definition of sale
Collagen Corporation, December 1990
H.C.B., Inc., October 1991
Roche Holding AG, April 2008
not printed
not printed
9635
9644
9653
9713
A.R.S. §44-1801(22)-Definition of salesman
Smith Barney Inc., August 1995
not printed
9695Q
9696A
not printed
9696O
9696Q
A.R.S. §44-1801(26)-Definition of security
Rainbow Retreats, Inc., December 1991
Dean Witter Financial Services Group, Inc. – Capital Accumulation Plan, April 1993
9622
 
9629
 
9625
9632
9651
9656
not printed
9664
 
9667
 
9681
9683
9685
9695K
9695P
not printed
not printed
 
9696I
not printed
9696H
9696F
not printed
9696K
9696M
9696R
A.R.S. §44-1842-Transactions by unregistered dealers and salesmen prohibited
 
9710
9696S
A.R.S. §44-1843(A)(1)-Exemption for securities issued or guaranteed by the U.S., any state or territory, or any political subdivision, agency, or instrumentality
not printed
9628
9624
9638
 
9646
9645
9640
9649
9658
9657
 
 
 
9654
9662
9663
9669
9671
 
 
9672
 
9677
not printed
 
9678
 
9679
 
9682
not printed
not printed
 
9695E
9695M
 
not printed
not printed
not printed
not printed
A.R.S. §44-1843(A)(2)-Exemption for securities issued by a bank savings, credit, or loan association
State Bank of India, September 1991
Vintage Bank, May 1994
Sun Country Bank, July 1994
Lehman Brothers, March 1995
Smith Barney, August 1996
Oppenheimer Capital, September 1996
Great Banc, Inc., February 1997
not printed
not printed
9668
9678
9686
9688
9691
9692
9695J
9695U
9695Z
not printed
not printed
not printed
9696C
A.R.S. §44-1843(A)(5)-Public utility exemption
not printed
A.R.S. §44-1843(A)(6)-Eleemosynary exemption
Roman Catholic Diocese, February 1991
Roman Catholic Diocese, February 1992
not printed
not printed
not printed
9626
9665
9674
9676
not printed
not printed
9696E
A.R.S. §44-1843(A)(7)-Exchange exemption
Interco, Inc., June 1990
Norwest, December 1990
American Brands, May 1991
Quidel Corp., May 1992
TPI Enterprises, June 1992
AIG Liquidity, July 1992
not printed
not printed
not printed
not printed
9627
9637
9643
9649
9660


 
A.R.S. §44-1843(A)(10)-Exemption for notes or bonds secured by a mortgage deed of trust on real estate or chattels
9630
A.R.S. §44-1844(A)(1)-Private placement
not printed
9647
9664
9667
A.R.S. §44-1844(A)(2)-Sale by trustee, executor, bank, or bankruptcy receiver
Businessland, Inc., August 1991
not printed
not printed
9637
A.R.S. §44-1844(A)(3)-Sale in good faith by pledgee
Recorp Partners, Inc., January 1992
not printed
9623
9636
A.R.S. §44-1844(A)(4)-Sale in good faith by a bona fide owner other than an issuer or underwriter in an isolated transaction
KV Partners, May 1996
 
not printed
not printed
9695X
A.R.S. §44-1844(A)(5)-Distribution of a corporation of securities out of retained earnings
Velocity HSI, Inc., July 2000
not printed
9642
9644
9653
9666
9670
9696Z
9708
9711
not printed


               
A.R.S. §44-1844(A)(6)-Transaction incident to a statutory or judicially approved reorganization and pursuant to shareholder approval
Magna Bancorp, Inc., December 1990
Dakota Bancorp, February 1991
Equus Investment I, L.P., February 1991
Utilitech, February 1991
UF Bancorp, Inc., August 1991
DiMark, Inc., March 1992
CB Bancorp, Inc., October 1992
Colonial Funds, January 1995
Shrewsbury State Bank, February 1995
Mentor Funds, April 1995
Gentry Resources Ltd., February 2001
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
not printed
9621
9633
9639
9650
9652
9655
9659
9675
not printed
not printed
not printed
9687
not printed
9695H
9695A
9695I
not printed
not printed
not printed
9695N
not printed
not printed
9695O
not printed
not printed
9695T
not printed
not printed
9695V
not printed
9695X
not printed
not printed
not printed
9696T
not printed
9700
9698
not printed
A.R.S. §44-1844(A)(7)-Exchange with existing shareholders
Rhodes, Inc., November 1991
Levitz Furniture, Inc., February 1996
not printed
not printed
not printed
9659
9637
not printed
9695S


 


A.R.S. §44-1844(A)(8)-Sale to a bank, savings institution, insurance company, investment company, pension or profit sharing trust or other financial institution or institutional buyer or a dealer whether acting for itself or in a fiduciary capacity
AL Sarroff, October 1991
Painewebber, July 1992
CUSO Partners, L.L.C., August 2005
not printed
9648
9680
9689
9695L
9699
9709
A.R.S. §44-1844(A)(10)-Incorporators’ exemption
SedonaLoan, L.L.C., March 2005
not printed
A.R.S. §44-1844(A)(11)-Manual exemption
Painewebber, July 1992
9648
9694
A.R.S. §44-1844(A)(14)-Sales in connection with a qualified employee benefit plan
Bromar, Inc., December 1990
JIB Group Ltd., October 1991
not printed
not printed
not printed
not printed
not printed
9693
9695B
9695Y
9705
A.R.S. §44-1844(A)(18)-Non-issuer transaction in an outstanding security
9670
A.R.S. §44-1844(A)(19)-Secondary transactions to non-residents
 
not printed
A.R.S. §44-1893-Contents of application for registration of securities by qualification
Clear Sky, May 1997
9696G
A.R.S. §44-3101(5)-Definition of investment adviser
Bank Julius Baer, September 1996
9695
9695D
9695F
9696
9706
A.R.S. §44-3101(6)-Definition of investment adviser representative
Henry & Horne, PLC, January 2005
9707
A.R.S. § 44-3151-Licensure of investment advisers and investment adviser representatives
9710
A.R.S. §44-3152-Exemption of certain investment advisers
 
9695G
 
A.R.S. § 44-3159 – Reporting Requirements
9702
A.R.S. §44-3321-Notice filings by open-end companies and unit investment trusts
9696N

A.A.C. R14-4-101-Exempt transaction to existing shareholders and employees
 
 
 
9670
A.A.C. R14-4-104-Salesman and dealer registration required for certain exempt offerings and transactions
Dewey Ballentine, July 1993
First Industrial L.P., October 1997
Statesman Realty, LLC, February 2008
9634
9638
9673
9696D
9696J
9696L
not printed
9712
A.A.C. R14-4-132-Books and records of dealers
9695R


 
A.A.C. R14-4-136-Exemption for certain compensatory benefit plans
9641
9697
A.A.C. R14-4-137-Exemption for securities issued pursuant to court or governmental order
Lida, Inc., October 1994
MMI Holdings, Inc., January 2000
CBOE Holdings, Inc., July 2009
9631
9637
9684
9695C
9695V
not printed
9695W
9696B
not printed
9697U
9696X
A.A.C. R14-4-308-Recission and restitution rule
Not printed
A.A.C. R14-6-206 – Custody of client funds or securities by investment adviser
9702
A.A.C. R14-6-212 – Application, Notice Filing, and Renewal Requirements
9702
Policy Statement – distribution of indentifying statements and preliminary prospectuses
9701