48 Neb. Admin. Code, ch. 37, § 002 - DEFINITIONS
For purposes of these rules, the following terms have the meanings indicated:
002.01 "Financial
institution" means federal and state-chartered banks, savings and loan
associations, savings banks, credit unions, and the subsidiaries and service
corporations of such institutions located in Nebraska.
002.02 "Networking arrangement" means a
contractual or other arrangement between a broker-dealer and a financial
institution pursuant to which the broker-dealer conducts broker-dealer services
on the premises of such financial institution where retail deposits are
taken.
002.03 "Broker-dealer
services" means the investment banking or securities business as defined in
paragraph (u) of Article I of the By-Laws of the Financial Industry Regulatory
Authority, Inc.
Notes
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