48 Neb. Admin. Code, ch. 11, § 005 - DEFINITIONS

For the purposes of this Rule:

005.01 The term "company" has the same meaning as in section 202(a)(5) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b - 2(a)(5)), but does not include a company that is required to be registered under the Investment Company Act of 1940 but is not registered.

005.02 The term "private investment company" means a company that would be defined as an investment company under section 3(a) of the Investment Company Act of 1940 ( 15 U.S.C. 80a - 3(a)) but for the exception provided from that definition by section 3(c)(1) of such Act ( 15 U.S.C. 80a- 3(c)(1)).

005.03 [Repealed]

005.04 [Repealed]

Notes

48 Neb. Admin. Code, ch. 11, § 005

Amended effective 6/5/2017.