48 Neb. Admin. Code, ch. 39, § 004 - LIMITATIONS ON AVAILABILITY

The exemption provided by this Rule is available only to an issuer of the securities. The exemption is not available for:

004.01 Affiliates of the issuer or any other person for resale of the issuer's securities;

004.02 Transactions by existing security holders of the issuer;

004.03 An issuer that is either before or because of the offering, an investment company as defined in Section 3 of the Investment Company Act of 1940, 15 U.S.C. 80a-3, an entity that would be an investment company but for the exclusions provided in section 3(c) of the Investment Company Act of 1940, 15 U.S.C. 80a-3(c), or subject to the reporting requirements of section 13 or 15(d) of the Securities Exchange Act of 1934, 15 U.S.C. 78m or 15 U.S.C. 78o(d);

004.04 Offerings which are "blind pool offerings" or other offerings for which the specific business to be engaged in or specific property to be acquired by the issuer is not identified; and

004.05 Offerings in which the issuer plans to engage in a merger or acquisition with an unspecified business entity.

Notes

48 Neb. Admin. Code, ch. 39, § 004

Adopted effective 5/11/2016. Amended effective 11/25/2018 Amended effective 6/13/2022