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Displaying 44461 - 44480 of 46176
9010010 Informal Interpretation
Date
Rule
802.1; 801.10
A is selling one type of future of many in the same category - this is exempt; if A was sellingan entire segment of his business it would not be exempt. Acquisition price may becomputed as stated in...
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(127.91 KB)
9009013 Informal Interpretation
Date
Rule
801.11(e); 801.10
10/1/90 Told (redacted) that the first mode of analysis is correct but not the second andassuming the faith stated the conclusion is correct. TFH
File
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(111.91 KB)
9009012 Informal Interpretation
Date
Rule
802.1
9/24/90 Called him back. Clarified that since the size-of-person test isnt met there is noneed to go to the exemption under 802.1 for realty. Its really a 2-step process: 1) do youhave to file under...
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(130.27 KB)
9009011 Informal Interpretation
Date
Rule
801.1(c)(2); 801.11(c)(1)
Advised that 801.1(c)(2) requires insurance company to include assets held in a separateaccount for size of person test. - JDahnke 9/20/90
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(386.61 KB)
American Society of Cataract and Refractive Surgeons
Date
re: Concerning advisory advertising guidelines.
File
9009009 Informal Interpretation
Date
Rule
801.11
9/18/90 Advised (redacted) that pursuant to Rule 801.11, the size of person test includesthe acquired person plus all entities it controls. He agreed and stated that the acquiredperson controls no one...
File
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(98.89 KB)
9009001 Informal Interpretation
Date
Rule
801.11
For purposes of the size-of person test for an individual, include the financials of all entitiescontrolled plus any other investment assets. Exclude personal assets such as a house or car. Include...
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(81.69 KB)
9009002 Informal Interpretation
Date
Rule
802.63
Sale - leaseback in ordinary course
File
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(442.36 KB)
9009003 Informal Interpretation
Date
Rule
801.11
I never received a letter dated 9-4-90But did have phone conversation
File
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(42.3 KB)
9009004 Informal Interpretation
Date
Rule
801.15(b); 802.50
None noted
File
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(56.78 KB)
9009006 Informal Interpretation
Date
Rule
7A(c)(4); 801.1(a)(2)
None noted
File
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(47.27 KB)
9009007 Informal Interpretation
Date
Rule
801.40; 802.30
None noted
File
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(167.44 KB)
9009014 Informal Interpretation
Date
Rule
801.1(b)
B controls A because B has the power to designate directors of A.
File
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(178.37 KB)
Displaying 44461 - 44480 of 46176