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Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3^rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399

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Good To Know

A.R.S. §44-1843(A)(10)-Exemption for notes or bonds secured by a mortgage deed of trust on real estate or chattels	Clearwater Development, Inc., March 1992	9630
A.R.S. §44-1844(A)(1)-Private placement	American National Petroleum Company, February 1991 Grupo Financiero Banamax Accival, S.A. de C.V., June 1992 Villa Lafayette Associates, February 1993 Dean Witter Financial Services Group – Capital Accumulation Plan, April 1993	not printed 9647 9664 9667
A.R.S. §44-1844(A)(2)-Sale by trustee, executor, bank, or bankruptcy receiver	First Capital Holding Corp., September 1990 Businessland, Inc., August 1991 Quidel Corporation, May 1992	not printed not printed 9637
A.R.S. §44-1844(A)(3)-Sale in good faith by pledgee	Recorp Partners, Inc., May 1991 Recorp Partners, Inc., January 1992 Recorp Partners, Inc., May 1992	not printed 9623 9636
A.R.S. §44-1844(A)(4)-Sale in good faith by a bona fide owner other than an issuer or underwriter in an isolated transaction	Rolling Hills Golf Course, Inc., May 1990 KV Partners, May 1996 Houston Enterprises, LLC, June 1996	not printed not printed 9695X
A.R.S. §44-1844(A)(5)-Distribution of a corporation of securities out of retained earnings	Information Resources, Inc., October 1990 Deprenyl Research Limited, June 1992 Home Shopping Network, Inc., June 1992 Home Shopping Network, Inc., October 1992 Horace Mann Growth Fund, Inc., December 1992 Aztec Energy Corporation, August 1993 Velocity HSI, Inc., July 2000 TEL Offshore Trust-Magnum Hunter Resources, Inc., March 2005 Brookfield Infrastructure Partners L.P., September 2007 Infrared Systems International, July 2008	not printed 9642 9644 9653 9666 9670 9696Z 9708 9711 not printed

A.R.S. §44-1844(A)(6)-Transaction incident to a statutory or judicially approved reorganization and pursuant to shareholder approval	Peoples Financial Corp., January 1990 ECOVA Corporation, June 1990 Home Interstate Bancorp, July 1990 American Savings & Loan Association of Florida, February 1991 Magna Bancorp, Inc., December 1990 Dakota Bancorp, February 1991 Equus Investment I, L.P., February 1991 Santan Arizona Avenue Partners, L.P., February 1991 Utilitech, February 1991 Timberline Community Bank, July 1991 Kirksville Bancshares, Inc., August 1991 Mason-Dixon Bancshares, Inc., August 1991 Shelby County Savings Bank, August 1991 UF Bancorp, Inc., August 1991 BOK Financial Corporation, September 1991 Equus Investment II, L.P., December 1991 DiMark, Inc., March 1992 Abraxas Petroleum Corp., June 1992 American Federal Bank/Am-First Financial Corp., August 1992 CB Bancorp, Inc., October 1992 Fourth Financial Corporation, October 1992 Morgan County Federal Savings & Loan Association, November 1992 Fourth Financial Corporation, November 1993 Healthcare America, Inc., November 1993 Northwestern Financial Corp., November 1993 Northwest Equities Corp., February 1994 Midland Mutual Life Insurance Company, May 1994 Twin City Bancorp, Inc., November 1994 Colonial Funds, January 1995 First Federal Bancorporation, January 1995 Shrewsbury State Bank, February 1995 First State Bank of Fort Collins, April 1995 Mentor Funds, April 1995 N S&L Bancorp, Inc., April 1995 Putnam Intermediate Tax Exempt Fund, April 1995 Sun Capital Bank/Sun Capital Bancorp, April 1995 Gallup Federal Savings and Loan Association, May 1995 HealthPartners of Arizona, May 1995 Putnam Growth & Income Fund II, May 1995 Mentor Capital Growth Portfolio, June 1995 Farm Family Mutual Insurance Company, March 1996 Heartland Bancshares, Inc., March 1996 Westwood Savings Bank/Westwood Financial Corp., March 1996 Cerulean Company, Inc., May 1996 First Lancaster Bancshares, Inc., May 1996 Houston Enterprises, LLC, June 1996 Putnam Intermediate US Government Income Fund II, July 1996 Rocky Ford Financial, Inc., March 1997 High Country Bancorp, Inc., September 1997 The Canada Life Assurance Company, May 1999 Sun Life Assurance Company of Canada, May 1999 Gentry Resources Ltd., February 2001 Anthem Insurance Companies, Inc., July 2001 Farmers Home Holding Company Inc., October 2005	not printed not printed not printed not printed not printed not printed not printed not printed not printed not printed not printed not printed not printed not printed not printed 9621 9633 9639 9650 9652 9655 9659 9675 not printed not printed not printed 9687 not printed 9695H 9695A 9695I not printed not printed not printed 9695N not printed not printed 9695O not printed not printed 9695T not printed not printed 9695V not printed 9695X not printed not printed not printed 9696T not printed 9700 9698 not printed
A.R.S. §44-1844(A)(7)-Exchange with existing shareholders	Colonial Strategic Income Trust, July 1990 Mason-Dixon Bancshares, Inc., August 1991 Rhodes, Inc., November 1991 Morgan County Federal Savings and Loan Association, November 1992 Quidel Corporation, May 1992 Northwestern Financial Corporation, November 1993 Levitz Furniture, Inc., February 1996	not printed not printed not printed 9659 9637 not printed 9695S

A.R.S. §44-1844(A)(8)-Sale to a bank, savings institution, insurance company, investment company, pension or profit sharing trust or other financial institution or institutional buyer or a dealer whether acting for itself or in a fiduciary capacity	AL Sarroff, October 1991 Painewebber, July 1992 Corporate Network Brokerage Services, Inc., November 1993 ERP Operating L.P., May 1994 AmeriData Delaware LLC, April 1995 Collins Bay Island Securities, June 2001 CUSO Partners, L.L.C., August 2005	not printed 9648 9680 9689 9695L 9699 9709
A.R.S. §44-1844(A)(10)-Incorporators’ exemption	SedonaLoan, L.L.C., March 2005	not printed
A.R.S. §44-1844(A)(11)-Manual exemption	Painewebber, July 1992 Trans Canada Options Inc., August 1994	9648 9694
A.R.S. §44-1844(A)(14)-Sales in connection with a qualified employee benefit plan	Bromar, Inc., December 1990 INVESCO Retirement Trust, December 1990 CIGNA Corporation, June 1991 JIB Group Ltd., October 1991 Acceptance Insurance Company Inc., February 1994 National Health Enhancement Systems, August 1994 Cookson Group US Stock Purchase Plan, August 1994 AG Edwards Trust Company, July 1996 Emeriti Consortium for Retirement Health Solutions, December 2004	not printed not printed not printed not printed not printed 9693 9695B 9695Y 9705
A.R.S. §44-1844(A)(18)-Non-issuer transaction in an outstanding security	Aztec Energy Corporation, August 1993	9670
A.R.S. §44-1844(A)(19)-Secondary transactions to non-residents	Stuart-James Company Inc., August 1990	not printed
A.R.S. §44-1893-Contents of application for registration of securities by qualification	Clear Sky, May 1997	9696G
A.R.S. §44-3101(5)-Definition of investment adviser	Stock Search International, August 1994 TML Investment Advisers, Inc., October 1994 Baptist Foundation of Arizona, October 1994 Bank Julius Baer, September 1996 Koch Industries, Inc., July 2004	9695 9695D 9695F 9696 9706
A.R.S. §44-3101(6)-Definition of investment adviser representative	Henry & Horne, PLC, January 2005	9707
A.R.S. § 44-3151-Licensure of investment advisers and investment adviser representatives	Merrill Lynch Client Transition Program, September 2007	9710
A.R.S. §44-3152-Exemption of certain investment advisers	Genes Capital Management Co., November 1994	9695G
A.R.S. § 44-3159 – Reporting Requirements	Trendstat Capital Management, Inc., August, 2002	9702
A.R.S. §44-3321-Notice filings by open-end companies and unit investment trusts	Automated Business Development Corporation, April 1998	9696N
A.A.C. R14-4-101-Exempt transaction to existing shareholders and employees	Aztec Energy Corporation, August 1993	9670
A.A.C. R14-4-104-Salesman and dealer registration required for certain exempt offerings and transactions	Greycliff Group, Inc., April 1992 City of Tucson Minibond Sales, May 1992 Dewey Ballentine, July 1993 Virginia Higher Education Tuition Trust Fund, May 1997 First Industrial L.P., October 1997 Alcatel Alsthom Compagnie Generale d’Electricite, November 1997 Alcatel 2000 Group Savings Plan, July 2000 Statesman Realty, LLC, February 2008	9634 9638 9673 9696D 9696J 9696L not printed 9712
A.A.C. R14-4-132-Books and records of dealers	Financial Network Investment Corporation, November 1995	9695R

A.A.C. R14-4-136-Exemption for certain compensatory benefit plans	General Instrument Corporation, June 1992 World Internet Holdings, Inc., December 2000	9641 9697
A.A.C. R14-4-137-Exemption for securities issued pursuant to court or governmental order	National Realty, L.P., March 1992 Quidel Corporation, May 1992 York Research Corporation, January 1994 Lida, Inc., October 1994 Cerulean Companies, Inc., May 1996 Harvey Universal, May 1996 Wired Ventures, Inc., May 1996 Washington Construction Group, Inc., September 1996 NTN Communications, Inc., November 1996 Data Systems Network Corp., June 1999 MMI Holdings, Inc., January 2000 CBOE Holdings, Inc., July 2009	9631 9637 9684 9695C 9695V not printed 9695W 9696B not printed 9697U 9696X
A.A.C. R14-4-308-Recission and restitution rule	David Evans & Associates, Inc., November 1991	Not printed
A.A.C. R14-6-206 – Custody of client funds or securities by investment adviser	Trendstat Capital Management, Inc., August 2002	9702
A.A.C. R14-6-212 – Application, Notice Filing, and Renewal Requirements	Trendstat Capital Management, Inc., August 2002	9702
Policy Statement – distribution of indentifying statements and preliminary prospectuses	BC Ziegler and Co. – Northridge Church, July 2002	9701

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