48 Neb. Admin. Code, ch. 7, § 015 - CHIEF COMPLIANCE OFFICER

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The investment adviser must designate a supervised person as the chief compliance officer responsible for administering the investment adviser's policies and procedures.

Notes

48 Neb. Admin. Code, ch. 7, § 015

Adopted effective 6/5/2017. Amended effective 11/27/2019 Amended effective 9/18/2024

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