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HSR Informal Interpretations

8901004 Informal Interpretation

… as follows: (11) acquisitions, solely for the purpose of investment, by any bank, banking association, trust company, investment company, or insurance company, of (A) voting … companys role with respect to the investment will be passive. The acquisition will be in the ordinary course of …
Date
Rule
803.63(b)
Exemption limited to contract of insurance and not extend to investment of premiums
Advocacy Filings

FTC Staff Comment Before the SEC Concerning Proposed Regulations Governing the Payment of Asset-Based Sales Loads by Registered Open-End Investment Management Companies

… Payment of Asset-Based Sales Loads by Registered Open-End Investment Management Companies Enviado por wfg-adm109 el … Payment of Asset-Based Sales Loads by Registered Open-End Investment Management Companies v880053.pdf Advocacy Filing … Payment of Asset-Based Sales Loads by Registered Open-End Investment Management Companies …
Date
Matter Number
V880053
HSR Informal Interpretations

8811004 Informal Interpretation

… its assets to a subsidiary of a publicly traded real estate investment trust (“Buyer”). We are writing pursuant to our … Certificates pledged to secure the two series of CMOs and reinvestment income thereon and (b) debt service on the two … mortgage loans. For purposes of the Hart-Scott-Rodino Act investment in a FNMA Certificate is the functional …
Date
Rule
802.1(c)(2)
This cannot be exempt under 802.1 or the c-2 exemption because substantially all of the assets of the acquired entity will be acquired. As a result, a “business” will be acquired. Thus, this cannot be...
HSR Informal Interpretations

8811007 Informal Interpretation

… investors) to invest indirectly through various means in investment which offer the possibility of above-average returns utilizing the investment banking skills of its general partner (redacted) … and (redacted) is an affiliate of (redacted), a private investment banking firm founded as a New York partnership in …
Date
Rule
802.20; 802.30
This letter was answered advised that transaction was non-reportable
HSR Informal Interpretations

8809004 Informal Interpretation

… contained in this letter relating to Investors and their investment in Parent and Subsidiary is taken from the … time require action which could be viewed as not completely passive. The Schedules 13D add that, as a result of the … to purchasers who intend to hold the voting securities as passive investors, but material quoted above from the …
Date
Rule
801.1(c); 802.9
None noted
HSR Informal Interpretations

8806008 Informal Interpretation

… share). Substantively, (redacted) initial filing was for an investment in (redacted) through Parent. Following the … (redacted) was and is (redacted) since (redacted) initial investment, there has been no other change in the corporate … and (redacted) Thus, substantively, we believe an investment in (redacted) is identical to an investment in …
Date
OK Limited strictly to situations like this one in which the different issuers are identical in actual operation. 7/18/88
HSR Informal Interpretations

8807004 Informal Interpretation

… the (redacted) . The (redacted) is acquiring the hotel for investment purposes in the ordinary course of its business … financial instruments and real estate properties for its investment portfolio. The (redacted) is regulated under (redacted) and makes investments solely for the purpose of preserving pension …
Date
Rule
7A(c)(1), 802.2(b)
None noted
HSR Informal Interpretations

8806001 Informal Interpretation

… unique. (Redacted) is a broker-dealer. Securities and other investments are bought and sold through (redacted) by …
Date
The commissions are an expense, as indicated on the income statement and are not deducted. The total revenues are counted for purposes of determining revenues under 802.20(b).
HSR Informal Interpretations

8806010 Informal Interpretation

… which would be jointly owned by the seller and two investment partnerships. For reasons described in that … so that (redacted) would be created and funded by the two investment partnerships described in that letter in advance … advance funding (in the amount of $5 million), one of the investment partnerships (Partnership A) presently owns more …
Date
Rule
801.1(b); 801.1(c)
After further discussion with parties, the parties were advised that notification was not necessary if the Partnership A did indeed become a less than 50% holder of (redacted) as a result of the...
HSR Informal Interpretations

8805003 Informal Interpretation

… no contractual agreement among them with respect to their investment in (redacted). Applicability of Act.   A.        … among the shareholders of (redacted) with respect to their investment in (redacted) with respect to the election of …
Date
Rule
801.11(e); 801.1(b)
OK 5-9-88
HSR Informal Interpretations

8711001 Informal Interpretation

… vote the stock or to determine who may vote the stock, the investment discretion (including the power to dispose of the … (redacted) that will result from (redacted) exercise of the investment discretion he has regarding the shares.* The … to Purchase, Section 10, at 19-20) Combined with the equity investment made by (redacted) as the sole general partners …
Date
Rule
801.1(c)
None noted
HSR Informal Interpretations

8710003 Informal Interpretation

… I request your views as to whether A may claim the investment exemption, 16 C.F.R. 802.9, for its purchases of … thus any conduct by A that would be inconsistent with an investment intent under the HSR Act. Moreover, the very … a similar impact. In short, not only does A have a present investment intention, it is prevented by the CIBCA and the …
Date
Rule
802.8; 7A(c)(8)
Informed that [sic] writer that acquisitions below the control threshold in these bank acquisitions are not exempt from HSR under 7A(c)(8) or 802.8 of the HSR rules since such acquisitions are not...
Displaying 1781 - 1800 of 1860
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