2010 Opinions

12/15/2010 

The Securities Commissioner has issued an Order of Exemption from licensing as an investment adviser to Kreiger Asset Management, LLC.

Opinion Request

Order of Exemption

12/7/2010

The staff of the Colorado Division of Securities has taken a "No-Action" position with respect to the issuance of “Surplus Notes” by the Segregated Account of Ambac Assurance Corporation.

9/22/2010

The Staff of the Division of Securities has issued an interpretive opinion setting out general principles or guidelines that will be used by the Division in deciding whether the issuance, offer or sale of subscription interests in community solar gardens are securities as that term is defined by the Securities Act.

7/12/2010

The staff of the Colorado Division of Securities has taken a "no-action" position with regard to the offer and sale of Finca International Inc., notes which provide financial credit and other services to facilitate the provision of microfinance globally.
OPINION REQUEST AND ANSWER

4/23/2010

The Securities Commissioner has issued an Order of Exemption from licensing as an investment adviser to Jonathan Murdock and Elemento, LLC.

Opinion Request

Interpretive Opinion