Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 48 - DEPARTMENT OF BANKING AND FINANCE
Chapter 42 - EXCLUSION OF INVESTMENT ADVISERS TO PRIVATE FUNDS FROM THE DEFINITION OF "INVESTMENT ADVISER"
Section 48-42-001 - GENERAL

Universal Citation: 48 NE Admin Rules and Regs ch 42 ยง 001

Current through March 20, 2024

001.01 This Rule has been promulgated pursuant to authority delegated to the Director in Section 8-1101(7) and Section 8-1120(3) of the Securities Act of Nebraska ("Act").

001.02 The Department has determined that this Rule relating to investment advisers to private funds is consistent with investor protection and is in the public interest.

001.03 The Director may, on a case-bv-case basis, and with prior written notice to the affected persons, require adherence to additional standards and policies, as deemed necessary in the public interest.

001.04 The definitions in 48 NAC 2 shall apply to the provisions of this Rule, unless otherwise specified.

001.05 Federal statutes and rules of the Securities and Exchange Commission ("SEC") or the Financial Industry Regulatory Authority ("FINRA") referenced herein shall mean those statutes and rules as amended on or before the effective date of this Rule. A copy of the applicable statutes or rules referenced in this Rule is attached hereto.

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