48 Neb. Admin. Code, ch. 7, § 020 - DISHONEST OR UNETHICAL BUSINESS PRACTICES
020.01 The conduct set forth in 48 NAC 12.006 l constitutes "an act , practice or course of business which operates, or would operate, as a fraud or deceit upon another person" by an investment adviser for purposes of Section 8-1102 of the Act and "dishonest or unethical business practices" by an investment adviser for purposes of Section 8-1102 and Section 8-1103of the Act .
020.02 The delineation of certain acts and practices is not intended to be all inclusive. Acts or practices not enumerated in 48 NAC 12.006 may also be deemed fraudulent and dishonest.
Notes
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