Request that the Department take no action regarding the sale of units of Ashton Investments, LLC to two prospective tenants according to Ark. Code Ann. § 23-42-504(a)(9).
HABERSHAM FUNDING, LLC
01/14/2002
Request for the Department to take no action regarding the sale of viatical settlement contract pursuant to Rule 504.01(A)(12)(m).
ASSOCIATED PHARMACIES, INC.
12/18/2001
Request for issuance of a no action letter, determining that the Certificates of Membership and Participation in API are not a security within the meaning of the Arkansas Securities Act.
THE SECURE GROUP, LLC.
10/03/2001
Request for response to letter asking if the company’s business activities are now regulated by the Department as the sale of viatical settlement contracts under the Arkansas Securities Act.
ARKANSAS SECURITY CAPITAL CORPORATION
10/03/2001
Request interpretive opinion regarding integration of two 506 Reg D offerings more than 6 months apart and then an intrastate public offering registered by qualification.
ARKANSAS PHYSICIANS MANAGEMENT, INC.
07/27/2001
Request no action that shareholder is not an issuer even though he is a director based on § 23-42-504(a)(1). Shareholder owns 3% of outstanding stock.
TRUSERVE CORPORATION
07/06/2001
Cooperative hardware company requires ownership in Common Stock to gain membership in coop. Request no action opinion that stock is not a security within the meaning of § 23-42-102(15)(A) of the Act.
ANTHEM INSURANCE COMPANIES, INC.
06/25/2001
Request for no-action position with respect to the conversion of a mutual insurance company to a stock insurance company based on Rule 504.01(A)(12)(g) promulgated under Ark. Code Ann. § 23-42-504(a)(12).
UNION POWER PARTNERS, LP.
05/29/2001
Request for opinion on whether a consortium of banks, or Citibank, N.A., as its administrator, must be registered as a mortgage loan company based on Arkansas Code Ann. § 23-39-306(a)(1).