Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 48 - DEPARTMENT OF BANKING AND FINANCE
Chapter 39 - CONDITIONS AND INFORMATION REQUIREMENTS FOR THE SECTION 8-1111(24) CROWDFUNDING EXEMPTION
Section 48-39-008 - NOTICE FILING

Universal Citation: 48 NE Admin Rules and Regs ch 39 ยง 008

Current through March 20, 2024

008.01 The notice filed by an issuer pursuant to Section 8-1111(24) shall be signed by a person duly authorized by the issuer and shall include the following information:

008.01A A Form NCF containing such information as the Department requires;

008.01B The disclosure document to be provided to investors pursuant to Neb. Rev. Stat. § 8-1111(24)(a)(xi);

008.01C The financial statements prepared in accordance with Section 00 9, below;

008.01D The escrow agreement required by Section 0 10, below;

008.01E A copy of the issuer's articles of incorporation or other documents which indicate the form of organization, and a Certificate of Good Standing issued by the Nebraska Secretary of State within the preceding thirty days;

008.01F A representation stating that all of the conditions of Section 8-1111(24) have been or will be met by the issuer; and

008.01G A filing fee of two hundred dollars ($200.00).

008.02 The notice shall be filed at least ten days prior to the commencement of the offering, except that the Director may waive this requirement for good cause shown.

008.03 An issuer shall not commence offering or selling such security until it has received written or electronic confirmation from the Department that its notice filing has been accepted by the Department.

008.04 The Director may require the filing of corrected or additional information if the Director deems it material to the offering.

008.05 If at any time while the offering is ongoing there is a material change that would affect the accuracy of the information contained in notice filing, the issuer shall file amended information within thirty days. All amendments must first be filed with the Department and be accepted by the Department prior to their use by the issuer.

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