Section 48-9-012 - DISHONEST OR UNETHICAL BUSINESS PRACTICES012.01 The conduct set forth in 48 NAC 12.005 constitutes "an act, practice or course of business which operates, or would operate, as a fraud or deceit upon another person," for purposes of Section 8-1102(2)(b) of the Act and "dishonest or unethical business practices" for purposes of Section 8-1102(2)(d) and Section 8-1103(9)(a)(vii) of the Act by an investment adviser representative.012.02 The delineation of certain acts and practices is not intended to be all inclusive. Acts or practices not enumerated therein may also be deemed fraudulent and dishonest.48 Neb. Admin. Code, ch. 9, § 012
Amended effective 6/13/2022