48 Neb. Admin. Code, ch. 13, § 001 - GENERAL
001.01 This Rule has been promulgated
pursuant to authority delegated to the Director in Sections
8-1120
and
8-1110(5)
of the Securities Act of Nebraska
("Act").
001.02 The Department has
determined that this Rule relating to Section
8-1110(5)
of the Act is consistent with investor
protection and is in the public interest.
001.03 The definitions in 48 NAC 2 apply to
the provisions of this Rule, unless otherwise specified.
001.04 Federal statutes and rules of the
Securities and Exchange Commission ("SEC") and of the Financial Industry
Regulatory Authority ("FINRA") referenced herein means those statutes and rules
as amended on or before the effective date of this Rule. A copy of the statutes
or rules referenced in this Rule is available as an appendix to this rule at
www.ndbf.nebraska.gov.
001.05 The provisions of this Rule do not
apply to any security that is a federal covered security pursuant to the
provisions of Section 18(b)(1) of the Securities Act of 1933.
Notes
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