48 Neb. Admin. Code, ch. 10, § 009

Current through September 17, 2024

Section 48-10-009 - EXCEPTIONS

The provisions of this Rule shall not apply to any investment adviser whose principal place of business is not located in this state provided:

009.01 Such investment adviser is registered in the state in which its principal place of business is located; and

009.02 Such investment adviser is in compliance with the recordkeeping requirements established by the state in which its principal place of business is located.

009.03 For purposes of this Section, principal place of business shall mean the executive office of the investment adviser from which the officers, partners, or managers of the investment adviser direct, control, and coordinate the activities of the investment adviser.

48 Neb. Admin. Code, ch. 10, § 009

Amended effective 6/5/2017.

Amended effective 11/27/2019

Amended effective 6/13/2022