23 CAR pt. 358, Subpart 13 – Corporate Licensees | Midpage

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Code of Arkansas Rules

Subpart 13

23 CAR pt. 358, Subpart 13

Corporate Licensees

1Powers of commission 2Certain investigations 3Certain investigative fees 4Burden of proof 5Disclosure of family agreements/information 6Prohibition with respect to ownership of corporate licensees 7Prohibitions with respect to the distribution or transfer of securities 8Institutional investor 9Definitions — General 10Waiver of requirements of rules 11Public offerings by corporate licensees, holding companies, and stockholders 12Beneficial ownership, granting of proxies, and assignments of other interests 13Individual licensing of stockholders of corporate licensee 14Licensing of certain payees 15Corporate noncompliance 16Beneficial ownership 17Procedures for obtaining approvals for issuance of securities 18Licensing 19Persons who may be deemed unsuitable 20Escrow of securities 21Proscribed corporate activities in respect of unsuitable persons 22Statement required 23Public offerings by holding companies [Reserved]24Approval by the Arkansas Racing Commission required for all issues or transfers by a holding company or intermediary company of its securities 25Arkansas Racing Commission approval required for dispositions of outstanding securities issued by holding companies or intermediary companies 26Stockholders of holding companies 27Officers and directors of holding companies 28Certain payees 29Reporting requirements for certain holding companies 30Exclusion of publicly traded corporations