48 Neb. Admin. Code, ch. 19, § 001 - GENERAL

001.01 This Rule has been promulgated pursuant to the authority delegated to the Director in Section 8-1120(3) of the Securities Act of Nebraska ("Act").
001.02 The Department has determined that this Rule relating to requests to cure late filings of an exemption notice pursuant to Section s 8-1111(9), 8-1111(16), 8-1111(20), 8-1111(21),. 8-1111(23), and 8-1108.02(2)(b) under the Act is consistent with investor protection and is in the public interest.
001.03 The Director may, on a case-by-case basis, and with prior written notice to the affected persons, require adherence to additional standards or policies, as deemed necessary in the public interest.
001.04 The definitions in 48 NAC 2 apply to this Rule, unless otherwise specified.
001.05 For purposes of this Rule, the term "seller" include s any issuer or other person on whose behalf a notice of exemption from registration under Sections, 8-1111(9), 8-1111(16), 8-1111(20), 8-1111(21), 8-1111(23), and 8-1108.02(2)(b) is filed with the Director.

Notes

48 Neb. Admin. Code, ch. 19, § 001
Amended effective 6/13/2022

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