Section 48-20-002 - OFFERINGS BY INVESTMENT COMPANIES002.01 Prior to the offer or sale of any security by an investment company registered under the Investment Company Act of 1940, the issuer shall file the following information with the Director:002.01A A notice, on a uniform form, acceptable to the Director, which shall contain: 002.01A1 The name and address of the issuer; and002.01A2 The dollar amount of securities which the issuer intends to offer in this state; and002.01B A consent to service of process, which may incorporate by reference any consent to service of process previously filed with the Director by such issuer;002.01C A filing fee calculated in accordance with Section 8-1108.03 of the Act; and002.01D Any other information which the Director may require, subject to the limitations of Section 18 of the Securities Act of 1933, 15 USC § 77r.002.02 Such notice is effective for a period of one year from the date the notice is received by the Director, unless the issuer notifies the Director of a later date of effectiveness of the notice.002.03 A notice filing may be renewed by filing the information specified in Section 002.01, above, with the Director before the expiration of the effectiveness of the previous notice filing, along with any sales report required by Section 8-1108.03 of the Act. A notice filing received pursuant to this subsection takes effect upon the expiration of the previous notice filing and is effective for one year.48 Neb. Admin. Code, ch. 20, § 002
Amended effective 11/27/2019Amended effective 6/13/2022