48 Neb. Admin. Code, ch. 14, § 002

Current through September 17, 2024
Section 48-14-002 - RECORDKEEPING

The following requirements must be met by registered broker-dealers relying upon the exemption from registration contained in Section 8-1111(3) of the Act.

002.01 In transactions involving an unsolicited order or offer to buy, the broker-dealer shall require the customer to acknowledge upon a specified form that the sale was unsolicited.
002.02 The broker-dealer shall retain a signed copy of each such form for a period of five years from the date of each sale made in reliance upon this exemption.

48 Neb. Admin. Code, ch. 14, § 002