Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 48 - DEPARTMENT OF BANKING AND FINANCE
Chapter 18 - INFORMATION REQUIREMENTS FOR THE SECTION 8-1111(20) NEBRASKA INTRASTATE ISSUER EXEMPTION
Section 48-18-010 - LIMITATIONS ON AVAILABILITY
Current through March 20, 2024
The exemption provided by this Rule is available only to an issuer of the securities. The exemption is not available for:
010.01 Affiliates of the issuer or any other person for resale of the issuer's securities; or
010.02 Transactions by existing security holders of the issuer.
010.03 An issuer that is either before or because of the offering, an investment company as defined in Section 3 of the Investment Company Act of 1940, 15 U.S.C. 80a-3, an entity that would be an investment company but for the exclusions provided in section 3(c) of the Investment Company Act of 1940, 15 U.S.C. 80a-3(c), or subject to the reporting requirements of section 13 or 15(d) of the Securities Exchange Act of 1934, 15 U.S.C. 78m or 15 U.S.C. 78o(d);
010.04 Debt offerings unless the issuer can demonstrate reasonable historical ability to service its debt.
010.05 Offerings which are "blind pool offerings" or other offerings for which the specific business to be engaged in or specific property to be acquired by the issuer is not identified.
