Section 48-40-003 - REGISTRATIONA portal operator shall register with the Department prior to establishing a funding portal to offer securities pursuant to this Rule. A portal operator seeking registration shall submit the following to the Department:
003.01 A Form NPO containing such information as the Department requires:003.02 A copy of the portal operator's articles of incorporation or other documents which indicate form of organization, and a certificate of good standing issued by the state of incorporation within the preceding thirty days:003.03 For portal operators not incorporated or organized in Nebraska, a Certificate of Foreign Authority or Certificate of Good Standing issued by the Nebraska Secretary of State within the preceding thirty days:003.04 For portal operators who are not registered with the Department as a broker-dealer, a certification affirming that the portal operator is in compliance, and will continue to comply, with Section 004, below:003.05 A broker-dealer that is registered with the Department that operates a funding portal offering securities pursuant to this Rule must register as a portal operator by submitting the information required in this section except that the filing fee shall be waived:003.06 A portal operator shall not commence operation of a funding portal until it has received written or electronic confirmation from the Department that its registration has been accepted by the Department: and003.07 A portal operator shall notify the Department no later than thirty days after an event or circumstance occurs which causes any of the information or material submitted as part of its application to become inaccurate.48 Neb. Admin. Code, ch. 40, § 003
Adopted effective 5/11/2016.