Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 48 - DEPARTMENT OF BANKING AND FINANCE
Chapter 7 - INVESTMENT ADVISERS
Section 48-7-019 - DISHONEST OR UNETHICAL BUSINESS PRACTICES
Universal Citation: 48 NE Admin Rules and Regs ch 7 ยง 019
Current through March 20, 2024
019.01 The conduct set forth in 48 NAC 12.006 l constitutes "an act, practice or course of business which operates, or would operate, as a fraud or deceit upon another person" by an investment adviser for purposes of Section 8-1102 of the Act and "dishonest or unethical business practices" by an investment adviser for purposes of Section 8-1102 and Section 8-1103 of the Act.
019.02 The delineation of certain acts and practices is not intended to be all inclusive. Acts or practices not enumerated in 48 NAC 12.006 may also be deemed fraudulent and dishonest.
Disclaimer: These regulations may not be the most recent version. Nebraska may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
