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2012 Opinions
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10/31/2012
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The staff of the Colorado Division of Securities has reconfirmed the application of an exemption and no-action letter to the Catholic United Investment Trust pursuant to §11-51-307(1)(g), C.R.S.
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9/27/2012
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The staff of the Colorado Division of Securities has issued an opinion letter confirming that insured negotiable certificates of deposit are legal investments for public entities under § 24-75-601.1, C.R.S. (Casaceli Capital Management, LLC)
Opinion Request
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8/17/2012
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The staff of the Colorado Division of Securities has issued an opinion letter confirming that negotiable certificates of deposit are legal investments for public entities under § 24-75-601.1, C.R.S. Weld County |
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8/17/2012
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The staff of the Colorado Division of Securities has taken a "no-action" position with regard to the offer and sale of debt securities by Enterprise Community Loan Fund, Inc.
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8/17/2012
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The staff of the Colorado Division of Securities has issued an opinion letter that structured settlement products as described in the request do not come within the definition of security under the Colorado Securities Act. Campbell Financial Opinion Request
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7/3/2012
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The staff of the Colorado Division of Securities has reconfirmed the application of an exemption pursuant to §11-51-307(1)(g), C.R.S. to an offering of securities by the Christina Financial Resources, Inc. |
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4/16/2012
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The staff of the Division of Securities has taken a no-action position as to the registration requirements of the Act with respect to the offer and sale of notes by the Presbyterian Church (U.S.A.) Investment and Loan Program, Inc.
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4/16/2012
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The staff of the Division of Securities has taken a no-action position as to the registration requirements of the Act with respect to merger of NBT Bank, N.A. and Hampshire First Bank, and the corresponding issue of shares by NBT Bank to shareholders of Hampshire First Bank.
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3/20/2012
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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 or sale of federally insured certificates of deposit by Primary Financial Company LLC to natural person credit unions.
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3/13/2012
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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 conducting seminars tutoring people on how to use various tools to trade in the stock market for a fee. (Mark Espy)
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2/21/2012
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The staff of the Colorado Division of Securities has taken a "no-action" position with regard to the proposed offer and sale of The Conservation Notes by The Nature Conservancy, which raises investment funds for the preservation of threatened natural areas throughout North America, South America, Canada, Mexico, Europe and many developing countries worldwide.
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2/6/2012
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The Securities Commissioner has issued an Order of Exemption from licensing as an investment adviser to Kopper Investment Management, Inc., and William Bruce Kopper
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2/6/2012
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The Securities Commissioner has issued an Order of Exemption from licensing as an investment adviser to Captiva Ventures, LLC.
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2/3/2012
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The staff of the Colorado Division of Securities has reconfirmed the application of an exemption and no-action letter to the Catholic United Investment Trust pursuant to §11-51-307(1)(g), C.R.S.
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2/3/2012
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The staff of the Colorado Division of Securities has taken a "no-action" position with regard to the offer and sale of Microcredit Enterprises Global Poverty Alleviation Notes which provide financial credit and other services to facilitate the provision of microfinance globally.
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(303) 894-2320 - Phone (303) 861-2126 - Fax
