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Securities

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

Date Description Statutes/Rules
2020/09/08 Venture Capital Fund Investment Adviser Registration Exemption 30-14-403 30-14-404
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)