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Securities

Opinion Letters - Idaho Uniform Securities Act (2004)

Date Description Statutes/Rules
2017/02/02 Electronic Signature Program 30-14-301 30-14-411
2017/01/13 Employee Stock Incentive Plan 30-14-202(21)
2015/12/10 Electronic Signature Program 30-14-301 30-14-411
2014/05/29 Hypothetical Business Model concerning: Issuer, Securities, and Agent 30-14-102(28) 30-14-102(2) 30-14-102(17) Rule 3
2014/04/15 Issuer's sales staff registration requirement 30-14-402(b)(3)
2012/03/19 Ten or Fewer Purchasers - Exempt Transaction 30-14-202(14)
2011/10/24 Cooperative Organization Exemption 30-14-201(8)
2011/09/13 Common Stock in a Business Sales Transaction 30-14-202(18) 30-14-402(4)
2010/11/15 Surplus Notes Issuance 30-14-202(22)(b)
2010/06/03 Condition of Exemption - Order Waiving 30-14-202(21)
2010/04/09 Business involving the introduction of buyers and sellers of Promissory Notes for a fee 30-14-202(11)
2010/03/31 Broker-dealer Firm and Agent Registration 30-14-401, 30-14-402
2010/03/03 Investment Adviser Custody of family accounts Rule 96
2009/11/04 Vested Employee Stock Option Service 30-14-411
2008/06/19 Exchange of a minority percentage of the equity of an owner occupied residence as payment for the completion of a home improvement project - considered a security? 30-14-102(28)
2008/04/11 Solicitation of Independent Financial Advisers in Gaining Access to Investors - Require Agent Registration? 30-14-402(b)(3)
2007/08/06 Proposed Business Model Constitute a Security? and Will Company Be Operating as an Investment Adviser? 30-14-102(28) 30-14-102(15)
2007/03/21 Real Estate Loan Interest sale - Exempt Transaction 30-14-202(14)
2006/08/24 Meaning of Terms "political subdivision" and "instrumentality" 30-14-201(1)
2006/06/21 Isolated Transaction 30-14-202(1) 30-14-102(4)
2006/03/20 Partnership Interest 30-14-102(28)(d),(e)
2005/10/13 Common Stock Offering 30-14-301
2005/09/21 Mortgage Related Securities 30-14-202(11)
2005/06/14 Dual Registration Exemption for Investment Adviser Representative 30-14-405 Rule 90.06
2004/12/01 Administrative Services 30-14-102(28)(d)

No-Action Letters - Idaho Uniform Securities Act (2004)

Date Description Statutes/Rules
2019/04/12 Precious Metals Lease 30-14-301
2016/10/04 Private Fund Adviser
30-14-403
2016/03/09 Banking Exemption 30-14-102(4)(c)
2016/02/08 Trust Company in Formation 30-14-201(3)(c)
2014/03/17 Investment Adviser Referral Arrangement 30-14-102(16)
2013/02/06 Conversion from Mutual Insurer to Stock Insurer 30-14-202(22)(b)
2010/08/13 Public Utility Exemption from Registration to Bonds of a Power Corporation - applicability 30-14-201(5)
2010/02/24 Conversion of Bank Shares into Holding Company Shares 30-14-201(3)(b)
2009/08/18 Class B Common Shares 30-14-202(22)(b)
2009/07/30 Certificates of Deposit being distributed to Idaho residents without benefit of a broker-dealer's license 30-14-401
2009/06/05 Client Transition Program 30-14-402
2008/03/21 Investment Advisory Activities. 30-14-403
2007/09/06 Inclusion of addendum - alter status as a recognized Securities Manual? 30-14-202(2)
2007/07/06 Contingent Payment Rights Considered to be Securities? 30-14-301
2007/03/13 State Chartered Bank Common Stock 30-14-201(3)
2006/11/08 Blind Pool Offering 30-14-510 Rule 60
2006/08/30 Membership Interests 30-14-301
2005/09/20 Common Stock Distribution 30-14-102(2) 30-14-202(22)(b) 30-14-402(b)(3)
2005/05/11 State Chartered Bank Securities 30-14-201(3)(b)
2005/4/25 Class Action Lawsuit Results in Offer of "Settlement Stock" 30-14-202(9)
2005/01/26 State Chartered Bank Exemption 30-14-201(3)(b)