Arizona No-Action Letters
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 | Corporate Network Brokerage Services, Inc., November 1993 AmeriData Delaware LLC, April 1995 | not printed 9648 9680 9689 9695L 9699 9709 |
A.R.S. §44-1844(A)(10)-Incorporators’ exemption | not printed | |
A.R.S. §44-1844(A)(11)-Manual exemption | 9648 9694 | |
A.R.S. §44-1844(A)(14)-Sales in connection with a qualified employee benefit plan | INVESCO Retirement Trust, December 1990 Acceptance Insurance Company Inc., February 1994 National Health Enhancement Systems, August 1994 Cookson Group US Stock Purchase Plan, August 1994 AG Edwards Trust Company, July 1996 Emeriti Consortium for Retirement Health Solutions, December 2004 | 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 | Stuart-James Company Inc., August 1990
| not printed |
A.R.S. §44-1893-Contents of application for registration of securities by qualification | 9696G | |
A.R.S. §44-3101(5)-Definition of investment adviser | Stock Search International, August 1994 TML Investment Advisers, Inc., October 1994 Baptist Foundation of Arizona, October 1994 | 9695 9695D 9695F 9696 9706 |
A.R.S. §44-3101(6)-Definition of investment adviser representative | 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 | Genes Capital Management Co., November 1994
| 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 | Aztec Energy Corporation, August 1993
| 9670 |
A.A.C. R14-4-104-Salesman and dealer registration required for certain exempt offerings and transactions | Greycliff Group, Inc., April 1992 City of Tucson Minibond Sales, May 1992 Virginia Higher Education Tuition Trust Fund, May 1997 First Industrial L.P., October 1997 Alcatel Alsthom Compagnie Generale d’Electricite, November 1997 | 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 | General Instrument Corporation, June 1992 World Internet Holdings, Inc., December 2000 | 9641 9697 |
A.A.C. R14-4-137-Exemption for securities issued pursuant to court or governmental order | National Realty, L.P., March 1992 Quidel Corporation, May 1992 York Research Corporation, January 1994 Lida, Inc., October 1994 Cerulean Companies, Inc., May 1996 Harvey Universal, May 1996 Wired Ventures, Inc., May 1996 Washington Construction Group, Inc., September 1996 NTN Communications, Inc., November 1996 Data Systems Network Corp., June 1999 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 | David Evans & Associates, Inc., November 1991 | Not printed |
A.A.C. R14-6-206 – Custody of client funds or securities by investment adviser | Trendstat Capital Management, Inc., August 2002 | 9702 |
A.A.C. R14-6-212 – Application, Notice Filing, and Renewal Requirements | Trendstat Capital Management, Inc., August 2002 | 9702 |
Policy Statement – distribution of indentifying statements and preliminary prospectuses | BC Ziegler and Co. – Northridge Church, July 2002 | 9701 |
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