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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)