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
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