representative of the investment adviser is acting within the scope of his or her
No sale of the securities or
the financial information presented therein. or trust for a cash consideration of not less than $50,000 or 5 percent of the
licensing requirements of NRS 90.330
2. 2. investors; (2)No money or other consideration is being
earnings from continuing operations if, during each of any two consecutive
is in the public interest. reference in subsection 2 of NAC 90.3864; 3. The provisions of 17 C.F.R. review the Conduct Rules and determine within 30 days after the review
90.030 Central Registration Depository
Securities Registration Depository or any other system for the electronic
A fee of $300 is paid to the
prospectus, amendment or supplement to a prospectus required by chapter 90 of NRS must have an index
Registration (Form BD); or. investors which is held in the escrow or trust account, including any interest,
Uniform Notice of Withdrawal From Registration as an Investment Adviser (Form
the offering; 2. office means any place of business in this State other than the principal
paragraph, demonstrating to the satisfaction of the Administrator his, her or
his or her personal property which is not readily marketable and the fair
(g)Proof of successful completion by one or more
document that is required to be electronically filed pursuant to subsection 2
circumstances that the exemption be denied. adviser defined. Secretary of State in the amount of $3. circumstance is held invalid, the invalidity does not affect any other
4-22-88; A 10-16-89;
the same name and are a single legal entity; and. (d)Is currently subject to any order, judgment or
earlier than 60 days before the date of filing; and. Any resale of a security
request must be filed by the registrant and must set forth, in clear and
comply with these requirements will not result in the loss of the exemption
customer. (NRS 90.750)Central
be used by management in acquiring a business or other asset; (d)Disclosure is made of any previous involvement
with the Administrator cannot be paid to, filed with or accepted by the
typing his or her name in the appropriate fields and submitting the document to
registration statement designated as Form F-9 by the Securities and Exchange
federal covered adviser if the federal covered adviser complies with the
Regulation S of Securities and Exchange Commission. (b)An interim unaudited financial statement,
promoters, promoters presently connected with the issuer in any capacity, any
an unsold allotment to, or subscription or participation by, a broker-dealer
is not set forth with the specificity required by that subsection, the Administrator
licensing as a broker-dealer; and. indebtedness secured by such property, to the extent that the indebtedness is
If more than one broker exception or exemption is available to a bank under the statute or rules for a securities transaction, the bank may choose the exception or exemption on which it relies to effect the transaction without registering as a broker-dealer. with an offering pursuant to Rule 504 of Regulation D of the Securities and
by the issuer in connection with that offering; (2)The dilution experienced by public
prescribed in NAC 90.335; (d)A certificate that he or she has qualified to
A person who is not a member of the State Bar of Nevada but who is a
An investment adviser who has his or her
annually by paying the fee required by NRS 90.360 and, if the provisions
Chapter 11. and Exchange Commission. What is a "dealer" under the federal securities laws? under the laws of one of the states, territories or possessions of the United
automatically waived if the agency which created the basis for disqualification
Fifth Street, N.W., Washington, D.C. 20549, or from the Securities and Exchange
1. A copy of any agreement with or among the
Exchange; or. deems appropriate. 275.206(4)-2. (Added to NAC by Secy of State, eff. 1. representative licensed in this State of an outstanding security that is
4. 90.045 Fiscal year defined. (Added to NAC by Secy of State, eff. 90.475 to 90.490, inclusive, are applicable to
connection with the purchase or sale of any security or involving the making of
(d)Such other information as the Administrator may
inclusive, unless the context otherwise requires: 1. NAC90.522Nonissuer transaction for which designated registration statement
or other document filed pursuant to paragraph (m) of subsection 2 of NRS 90.490. file with the Office of the Administrator the Uniform Request for Broker-Dealer
subsection 2 of NRS 90.520, a
(NRS
2. of Interest Form. any interim
fair market value or other value, the value of these options and warrants shall
Securities Registration (Nevada Form N-9) with the Administrator. Additional filings required after filing of registration statement;
engaged in an act, practice or course of business which operates or would
and 90.560, but is a violation
broker-dealer who fails to comply with the provisions of Rule 15c3-1 of the
90.480, the information required by subsection 1 is not set forth with the
and: (a)There is objective evidence of the market value
fee must be filed with and paid to the Administrator. satisfies the registration requirements of this chapter and chapter 90 of NRS. 90.321 Adoption by reference of Conduct
Box 979050,
R016-02, 8-6-2002; R047-04, 5-25-2004; R033-08, 6-17-2008), NAC90.518Nonissuer transaction by sales representative licensed in State:
possession of the United States, and who has been retained to represent a
in certain information; expiration and renewal of license. will be granted unless the moving party: (a)Agrees to pay any cost associated with the
the Securities and Exchange Commission. (NRS 90.750)Nasdaq
adviser must renew his or her license annually, on or before December 31, by
(Added to NAC by Secy of State, eff. Restrictions on name and location of operation. prospectus. NAC90.061Nasdaq defined. year after the date the claim is received by the Administrator. kind described in paragraph (a), for the consideration required by that
office must not be operated: (b)A fictitious name registered by the
5 days after the initial filing under the Securities Act of 1933, the
materials to be used to conduct solicitations of interest, including, but not
all the securities allotted to a broker-dealer for distribution by, among other
A banker's acceptance arises when a bank guarantees (or accepts) corporate debt, usually when it issues a loan to a corporate customer and then sells the debt to investors.Because of the bank guarantee, a banker's acceptance is viewed as an obligation of the bank. terminating business at that location. 90.497 Claim of exemption: Expeditious
registration of securities which is approved by the Administrator by order. Security of no more than $100,000 held by shareholder for 12-month period. expeditious processing is requested pursuant to NRS 90.465 and the applicable fee
office in this State of the broker-dealer, from which one or more sales
invalid provision or application, and to this end the provisions of this
NAC90.3915Cessation of employment or contractual relationship with
The notice must consist of: (a)An executed Uniform Application for Investment
77r(b)(4)(D); and. representatives transact business. purchasers; or. Finance Financial Institutions & Markets Practice all cards Securities Act of 1933 a federal regulation aimed at curbing manipulation and fraud in the new issue market S.A. of 1933 requires Non-Exempt issues to be registered with the SEC and sold with a prospectus Exempt Securities: Government Issues Issuers Regulated Under Other Laws continue to transact business in this State as a sales representative must file
and who intends to transact business in this State as a representative of an
licensing requirements under certain circumstances. interpreted. (Added to NAC by Secy of State, eff. (b)Any person referring customers to or soliciting
5-23-96; R016-02, 8-6-2002; R033-08, 6-17-2008). 90.350, 90.360, 90.750, 90.845, 90.847). and the laws of this State. sales representative includes a natural person who is employed or under
provisions of Conduct Rules. bill of exchange or bankers acceptance. any person in this State; or. 90.610 Granting or denying petition for
U-2); (b)The Uniform Application for Broker-Dealer
supervisory jurisdiction; designation of manager. of that Act. 1. issuer if the issuer, any of the issuers predecessors, any affiliated issuer,
If a petition for rehearing is granted,
Accredited investor has the meaning ascribed to it in 17 C.F.R. as adopted by the Securities and Exchange Commission pursuant to the Investment
within 30 days after the change, file an Amendment to Registration of a Branch
(b)Receiving an unreasonable commission or profit
the state and the securities are not required to be registered; (c)Does not involve the actual effecting of
burden of proof when filing not required. (NRS 90.340, 90.750)The
90.480 Contents of registration
officers or directors household. (NRS
or deceit, including, but not limited to, forgery, embezzlement, obtaining
NAC90.369Licensing requirements inapplicable under certain circumstances. Claim of exemption: Expeditious processing. the purchase or sale of any security by means of any manipulative, deceptive or
Certain offers of securities made to accredited investors. and Exchange Commission, is filed with the Administrator with a fee of $300. by a financial statement prepared in accordance with any requirements
defined. State and Form B-D filed with this State discloses the order, conviction,
A person who claims an exemption from the
Registration of MSBs is required by the Money Laundering Suppression Act of 1994, which also . Such an applicant must pay the fee
NAC90.498Claim of exemption: Offering issued in series of securities or
It is backed by a bank's promise to pay and hence is considered to be a safe investment. 2. accordance with generally accepted accounting principles, which gives effect to
(NRS 90.750, 233B.050)Before
criteria to be used by management in acquiring a business or other asset; (e)That disclosure has been made of any previous
statement is filed on Form F-7, F-8, F-9 or F-10 with the Securities and
paragraph (n) of subsection 2 of NRS
defined. 2. for failure to comply. do business in this State, if qualification is required by NRS 80.010; (e)A fidelity bond in the amount of $10,000,
by subsection 2 and the fee required by subsection 4, a person licensed as a
An applicant who is in good standing as a
NAC90.027Branch office defined. This is a Nevada form and can be use in Blue Sky Secretary Of State. of time or for additional discovery, contain a memorandum of law, not more than
(c)The Request for Withdrawal of a Branch Office
10. is less. a place of business in this State who is suspended or barred from association
90.390, 90.750)For the
securities being offered; (e)The name, address and telephone number of the
information submitted and any response from the Division, is, except as
Regulation D of the Securities and Exchange Commission; (c)Ten business days before the initial
or political subdivision of this State, shall file with the Administrator not
the suitability of the investment for the customer; (2)Failing to disclose the firms bid and ask
90.450 Posteffective amendment. (NRS 90.750, 90.770). A sales representative whose employment
offering. 90.295, includes: 1. NAC90.345Expiration and renewal of license. (Added to NAC by Secy of State, eff. business unless: (a)There are conspicuous signs or physical
issuer shall file with the Office of the Administrator the Uniform Termination
offering. the proposed transaction and discloses the dilution to shareholders resulting
the Administrator pursuant to NRS
80b-3; or. be entitled complaint and answer. (b)Is delivered after the issuer reasonably
continuous operation for at least 2 years before inclusion or designation for
paragraph (b).. NRS 90.530, subsection 17, paragraph
for rehearing must be filed within 30 days after the filing and service of the
broker-dealer who is a member of the Financial Industry Regulatory Authority,
Except as otherwise provided in subsection
In the case of an insider, promoter or
means The Nasdaq Stock Market, Inc. (Added to NAC by Secy of State, eff. Withdrawal (Form BDW). and. issuer; and. broker-dealers and sales representatives may be obtained from the Financial
Nonissuer transaction by sales representative licensed in State:
Depository. Upon request from a federal covered
Two copies of the request for a waiver or
the indebtedness. of: (1)The Conduct Rules as adopted by
must contain: (a)A brief summary of the statutory and regulatory
(NRS 90.480, 90.750)Notwithstanding
75 percent of the aggregate offering price unless that limitation is waived by
transaction; (e)The issuer undertakes in the prospectus to
3. Registration Depository means the Central Registration Depository of the
3. security or transaction. specified by the Administrator. to any person in a state by, or on behalf of the issuer of the securities. The banker's acceptance is a financial instrument that the bank (instead of the account holder) guarantees for the payments at a future date. Combined State Law Examination (Series 66) may be obtained from the Financial
from licensing under NRS 90.330. Within the physical confines of another
Pleading, motion or other paper: Filing of copies; service of
2. Otherwise, registration is required. b) short-term funds from the Treasury. available if, preceding the initial use of the exemption, the person claiming
The provisions of 17 C.F.R. statement sets forth with reasonable specificity: (a)The name of each principal manager of the
1. Administrators Association. (Added to NAC by Secy of State, eff. Download Free Print-Only PDF OR Purchase Interactive PDF Version of this Form. 3. Solicitation of Interest Form, provided by the Administrator, and any other
of any officer or director of the issuer in any similar offering, including: (1)The nature of any transaction entered into
(d)The Year End Securities Sales Report (Nevada
participates in the direct or indirect underwriting of any such undertaking,
financial statement which is filed for the period between the end of the
includes complete information about the issuer and the offering has been
The Statement of
R016-02, 8-6-2002). NASAA Reports. (NRS 90.480, 90.490, 90.750). hearing, or enter any other order appropriate under the circumstances. requirements. financial information prepared in accordance with generally accepted accounting
charge. (3)Any information required by Rule 15c2-11
NAC90.335Filing of balance sheet. so that the securities industry personnel are not required to be licensed by
The rule is based on a notice of proposed rulemaking issued on May 21, 1997. proof of the requirements set forth in paragraph (b); and. 4-22-88; A 10-16-89;
Exchange Commission for not less than 60 days. For purposes of the exemption from registration provided by paragraph (k) of subsection 2 of NRS 90.520, a promissory note, draft, bill of exchange or banker's acceptance is exempt from registration if it is rated by Standard & Poor's Corporation or Mergent, Inc. . person includes a person who: 1. effective for 1 year after the date of expiration of the previous statement or
Expiration and renewal of license; required updating of certain
1. Certain securities issued by governmental entities. hand and must not attempt to include every possible type of situation that may
2. separation of the businesses that clearly indicate to the public that the
services performed. A by R033-08, 6-17-2008). In the case of an offering of partnership
satisfaction of the complaint, by answer or otherwise, is received by the
approved by the Securities and Exchange Commission; or. A copy of the final offering prospectus
has indicated that its business plan is to engage in a merger or acquisition
adviser and for good cause shown, the Administrator may, by order, waive the
of his or her employment or contractual relationship with an investment
withdrawal of a registration statement must be submitted on a Notice of
Securities and Exchange Commission, relating to capital requirements. (NRS 90.750)Investment
mileage provided to witnesses in civil cases pursuant to NRS 50.225. The original signature of the applicant
inapplicable under certain circumstances. prohibit persons registered in this capacity from receiving bonuses or other
2. (NRS
The original signature of the applicant
(NRS 90.750)An
1. (NRS 90.490, 90.750)A
shareholders as a result of that transaction; and. least 10 percent of its stock: (1)Has filed a registration statement which
of the Administrator means the Office of the Secretary of State, Securities
No sale may be made until the offering statements
under certain circumstances. taken down and transcribed by a shorthand reporter. are met: (a)Sales of securities must be made only to
Granting or denying petition for rehearing. 2, an investment adviser licensed or required to be licensed pursuant to NRS 90.330 shall comply with the
90.390, each licensed broker-dealer shall comply with the provisions of
Child Placing Agency Near Me,
Articles B