Request for no action position not to require registration of the retired agents who participate in this plan pursuant to Ark. Code Ann. § 23-42-301.
DESIGNS IN GLASS, INC.
05/21/1998
Request that no enforcement action be taken involving 100% sale of business, seller will maintain position on Board and receive a 5 year promissory note.
MARK VIII CORPORATION – JAMES MOORE
05/19/1998
Requesting no action that registration as an investment adviser is not needed when advice is given over the internet, but not based on the individual client’s needs. James Moore is a registered agent and will receive compensation.
CORNERSTONE MANAGEMENT PARTNERS, INC.
04/08/1998
Integration issues regarding Ark. Code Ann. § 23-42-503(b) public offering exemption and Rule 503.01(B) of the Rules of the Arkansas Securities Commissioner.
DEPARTMENT OF TRANSPORTATION, HAWAII
03/31/1998
Requesting no action that guaranty of revenue bonds by Continental Airlines are not treated as a separate security. Bonds are a covered security Section 18(b)(4)(C) of the Securities Act of 1933.
COOPER CAMERON CORPORATION
03/16/1998
Requesting no action that notes in this transaction are not considered securities, but a commercial transaction with a bank.
CLEAR SKY
02/23/1998
Requesting no action position that allows typed signatures instead of manual and notarized signatures.
THOMAS COOK GROUP, LTD.
01/13/1998
Request that no enforcement action be taken involving two companies with foreign subsidiaries and affiliates that would not normally generate audited financials on time. The Department will allow them to file at a later date, but require them to file interims on time.
STANDARD & POOR’S STANDARD CORPORATION RECORDS
01/09/1998
Request for interpretative opinion of “manual exemption” pursuant to Ark. Code Ann. § 23-42-504(a)(2).