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Securities

Opinion Letters Archive - Idaho Uniform Securities Act (Prior to September 1, 2004)

Date Description Statutes/Rules
2004/07/19 Mortgage Related Securities 30-1435(1)(o)
2003/09/22 Broker Dealer serving Institutional Buyers Only 30-1402(3)
2003/08/27 Consultant - require Investment Adviser License? 30-1402(6)
2002/06/04 Department's Denial of Regulatory Relief Regarding Fees for Unit Investment Trusts 30-1437
2002/03/11 Entertainment Cooperative 30-1434(2)
2001/08/16 Cooperative Memberships - Securities? 30-1435(1)(I)
2001/06/06 Viaticals as Securities 30-1402(12)
2001/02/09 Broker Dealer Changing Business Operations to an OTC Derivatives Business 30-1402(3)(b)
2000/06/27 Registered agents of a broker-dealer - turn their commissions over to another corporation in exchange for salary and service support? 30-1406
2000/06/16 Registered agents of a broker-dealer - turn their commissions over to another corporation in exchange for salary and service support? 30-1434(1)(k) 30-1435(1)(i)
2000/02/08 Investment activities of a corporation's acquisitions manager - require licensing as a registered investment adviser? 30-1402(6)