48 Neb. Admin. Code, ch. 3, § 002

Current through September 17, 2024

Section 48-3-002 - OFFERINGS REGISTERED IN NEBRASKA

For the purposes of Section 8-1101(13) of the Act, the term "offer" does not include the circulation of a preliminary offering document provided.

002.01 The document is circulated by a broker-dealer registered in Nebraska;

002.02 The document is filed with the Director as part of an application to register the securities by qualification prior to its circulation.

002.03 The preliminary offering document is in the form of a prospectus which contains substantially the information required to be included in a prospectus meeting the requirements of Section 8-1107 of the Act for the securities being registered by qualification; and

002.04 The outside front page of the document bears in red ink, the caption "Preliminary Offering Document," the date of its issuance, and the following statement printed in bold type:

"A REGISTRATION STATEMENT RELATING TO THESE SECURITIES HAS BEEN FILED WITH THE DIRECTOR OF THE DEPARTMENT OF BANKING AND FINANCE OF THE STATE OF NEBRASKA, BUT HAS NOT YET BECOME EFFECTIVE. INFORMATION CONTAINED HEREIN IS SUBJECT TO COMPLETION OR AMENDMENT. THESE SECURITIES MAY NOT BE SOLD

NOR MAY OFFERS TO BUY BE ACCEPTED PRIOR TO THE TIME THE REGISTRATION STATEMENT BECOMES EFFECTIVE. THIS PRELIMINARY DOCUMENT SHALL NOT CONSTITUTE AN OFFER TO SELL OR THE SOLICITATION OF AN OFFER TO BUY; NOR SHALL THERE BE ANY SALE OF THESE SECURITIES IN NEBRASKA SINCE SUCH OFFER, SOLICITATION, OR SALE WOULD BE UNLAWFUL PRIOR TO QUALIFICATION UNDER SECTION 8-1107 OF THE SECURITIES ACT OF NEBRASKA."

48 Neb. Admin. Code, ch. 3, § 002

Amended effective 6/5/2017.

Amended effective 6/13/2022