- Text Size
-
-
2011 Opinions
|
11/23/2011
|
The Securities Commissioner has issued an Order of Exemption from licensing as an investment adviser to Race Street Management, LLC, and Cintra Pollack.
|
|
8/10/2011
|
The staff of the Colorado Division of Securities has issued an opinion letter confirming the prohibition regarding licensing of investment adviser representatives with the Division of Securities as contained in Section 203A(b)(1) of the Investment Advisers Act of 1940. (Booth Creek Capital)
|
|
7/8/2011
|
The Staff of the Division of Securities has declined to issue a No-action letter regarding the licensing requirements for an investment adviser with respect to the publishing and selling of videos that give advice or analysis of oil and gas direct participation investments.(Steven Imke)
|
|
6/30/2011
|
The staff of the Colorado Division of Securities has taken a "no-action" position as to the licensing provisions of the Colorado Securities Act with regard to the offer and sale of securities in Colorado by the foreign affiliates of BNP Paribas SA, under the chaperone of BNP Paribas Securities Corp.
|
|
6/29/2011
|
The Securities Commissioner has issued an Order of Exemption from licensing as an investment adviser and investment adviser representative to William E. Kuehn.
|
|
6/9/2011
|
The staff of the Colorado Division of Securities has taken a "no-action" position as to the registration provisions of the Colorado Securities Act with regard to the offer and sale of securities in CBIS Capital Ltd, a fund that limits participation to charitable organizations.
|
|
5/3/2011
|
The staff of the Colorado Division of Securities has taken a "no-action" position with regard to the offer and sale of Capital Sisters Investment Notes, which proceeds will be used to make loans to international microfinance institutions which lend to impoverished women in developing countries.
|
|
5/3/2011
|
The staff of the Colorado Division of Securities has issued an interpretive letter confirming an exemption under §11-51-307(1)(g), C.R.S., to the Presbyterian Church Investment and Loan Program.
|
|
4/6/2011
|
The staff of the Colorado Division of Securities has taken a "No-Action" position as to whether participating in an internet auction for the sale
|
Connect
Contact
1560 Broadway, Suite 900, Denver, CO 80202 Email
(303) 894-2320 - Phone (303) 861-2126 - Fax
