Idaho Department of Finance

No-Action / Opinion Letters Archive

No-Action / Opinion Letters Current

Opinion Letters - Idaho Securities Act [Prior to September 1, 2004]

** Click on Column Name to Sort Column
Date Description Statute/Rule Statute/Rule Statute/Rule Statute/Rule Statute/Rule
07/19/2004 Mortgage Related Securities 30-1435(1)(o)
09/22/2003 Broker Dealer serving Institutional Buyers Only 30-1402(3)
08/27/2003 Consultant - require Investment Adviser License? 30-1402(6)
06/04/2002 Department's Denial of Regulatory Relief Regarding Fees for Unit Investment Trusts 30-1437
03/11/2002 Entertainment Cooperative 30-1434(2)
08/16/2001 Cooperative Memberships - Securities? 30-1435(1)(I)
06/06/2001 Viaticals as Securities 30-1402(12)
02/09/2001 Broker Dealer Changing Business Operations to an OTC Derivatives Business 30-1402(3)(b)
06/27/2000 Registered agents of a broker-dealer - turn their commissions over to another corporation in exchange for salary and service support? 30-1406
06/16/2000 Options offered by an LLC to employees and board members - qualify for an exemption? 30-1434(1)(k) 30-1435(1)(i)
02/08/2000 Investment activities of a corporation's acquisitions manager - require licensing as a registered investment adviser? 30-1402(6)

No-Action Letters - Idaho Securities Act [Prior to September 1, 2004]

** Click on Column Name to Sort Column
Date Description Statute/Rule Statute/Rule Statute/Rule Statute/Rule Statute/Rule
07/02/2004 Investment Adviser Registration 30-1406(2)
06/09/2004 Limited Offering 30-1435(1)(I)
04/23/2004 Investment Adviser Registration 30-1402(6)(i)
10/21/2003 Medical Savings Account Products and Services 30-1402(6)(i)
10/21/2003 Life Estate Deeds and Continuing Care Contracts 30-1416
07/15/2003 Internet Auction of Oil, Gas & Mineral Interests 30-1402(12) 30-1406
05/16/2003 Tuition Certificates 30-1416
04/02/2003 Secondary Market Life Insurance Products purchase and sale - Viaticals 30-1402(12)
05/03/2002 Investment Adviser Exempt from Registration 30-1406(2)
05/03/2002 Investment Adviser Registration with relation to Idaho-based Venture Capital Funds 30-1406(2)
02/21/2002 Venture Capital 30-1406(2)
09/06/2001 Late Exemption Filing 30-1434(1)(k)
08/17/2001 FDIC Insured Deposit Products 30-1434(1)(c)
07/13/2001 Contractual Rights for Shipboard Apartments 30-1416
06/05/2001 Demutualization 30-1435(1)(n)
05/10/2001 Institutional Buyer 30-1402(3)
04/27/2001 Cooperative Shares 30-1402(12)
04/17/2001 Manual Exemption 30-1435(1)(c) Rule 280
03/28/2001 Demutualization 30-1434(1)(n)
03/13/2001 Share Options 30-1434(1)(k)
11/09/2000 Life Settlements - Securities? 30-1402(12)