48 Neb. Admin. Code, ch. 14, § 002 - RECORDKEEPING
The following requirements must be met by registered broker-dealers relying upon the exemption from registration contained in Section 8-1111(3) of the Act.
002.01 In transactions involving an
unsolicited order or offer to buy, the broker-dealer shall require the customer
to acknowledge upon a specified form that the sale was unsolicited.
002.02 The broker-dealer shall retain a
signed copy of each such form for a period of five years from the date of each
sale made in reliance upon this exemption.
Notes
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