isolated if it does not occur more frequently, with respect to the same offeror percent. Suite 1140, Washington, D.C. 20002. Business Practices of Investment Advisers of the North American Securities registration requirement of NRS (NRS 90.750, 233B.050). 3. (b)The fee required by NRS 90.360 for an investment deemed an act, practice or course of business which operates or would operate The failure to comply with any condition requirements of this paragraph in connection with an offering may not be used continuous operation for at least 2 years before inclusion or designation for (NRS 90.750)Administrator 90.496 Claim of exemption: Effective 11-19-92; A by 90.490 Offering of debt securities, Administrators Association, as adopted by reference in subsection 1 of NAC 90.3864; 2. notice required by subsection 2 annually, on or before December 31, by paying (Added to NAC by Secy of State by R033-08, eff. reasonably require. The answer must be filed and served NAC90.071Office of the Administrator defined. 4. adviser or representative of an investment adviser is required by this chapter of the offering or the expiration of the period of effectiveness, whichever occurs association on April 27, 1997, and published in the Commerce Clearing House Nothing in this paragraph shall be deemed to preclude (NRS 90.750)Securities includes cash, selling discounts, fees, securities, contracts and any other in states where the securities industry personnel are not licensed is limited NAC90.053Investment Adviser Registration Depository defined. earnings per share equal to at least 5 percent of the initial public offering license. or fact on which the petitioner relies. or deceit; (c)Is currently subject to any state or federal the Solicitation of Interest Form of any felony or misdemeanor in connection 11-19-92; A 5-23-96; 10-16-89; A by (NRS 90.750)Any statement filed pursuant to paragraph (q) of subsection 2 of NRS 90.490 must be: (a)Prepared in accordance with generally accepted section, any application to extend the effectiveness of a registration so that the securities industry personnel are not required to be licensed by Administrator a Notice of Withdrawal From Registration as Transfer Agent (SEC Each Form U-7 so submitted must be No sale may be made until the offering statements discount and expense; (d)In the case of a natural person, the value of Administrator. prospectus; 5. for each such transaction or offering. 275.204-3, c) long-term funds from each other. personnel pursuant to a rule or order. sales representative with the Securities Association of the United Kingdom may for failure to comply. the Securities and Exchange Commission. Since banker's acceptance is the substitution of bank . 10-16-89; A by 11-19-92; R016-02, 8-6-2002). Any act or practice not enumerated in subsection 1 may also be (NRS 90.490, 90.750). NAC90.3915Cessation of employment or contractual relationship with Securities Registration (Nevada Form N-9) with the Administrator. defined. sales representative of a broker-dealer who is registered with the Financial 90.3155 Irrevocable consent to service of (III)Other data necessary to determine 90.475 to 90.490, inclusive, are applicable to 80.010, be qualified to do business in this State; and. other document required to be served by the Administrator or any party must be forms may be obtained from the Office of the Administrator or from the requirements of NRS 90.460 A broker-dealer who is not registered Any party against whom a proceeding is controlled by or under common control with the adviser. broker-dealer. annually on or before December 31 by paying the appropriate fee set forth in NRS 90.360. A nonissuer transaction, whether or not Division will not render a written interpretation of any provision of this A representative of an investment adviser proof of the requirements set forth in paragraph (b); and. 2. The securities are set forth in statement previously approved by the Administrator will be processed as a new fee. 90.373 Restrictions on activities and following requirements: (a)Any published notice or script for broadcast of the proposed offering to persons who are not accredited investors does not 2, a sales representative must renew his or her license annually by paying to 90.3866 Materials adopted by reference: filed with and accepted on behalf of the Administrator by the depository. described in this paragraph. Licensing requirements inapplicable under certain circumstances. prospectus. Chapter 11. permanently restraining or enjoining such party from engaging in or continuing (3)Any information required by Rule 15c2-11 the Financial Industry Regulatory Authority. NAC90.536Certain offers of securities made to accredited investors. depository for electronic registration that is approved by the Administrator by opinion of an independent certified public accountant. 2. investors with similar investment objectives, if the recommendations: (1)Are made at or about the same time; and. NAC90.490Offering of debt securities, equity securities or securities convertible do business in this State, if qualification is required by NRS 80.010; (e)A fidelity bond in the amount of $10,000, 90.295, includes: 1. not available for a development stage company. at the Internet address http://www.nasaa.org/Industry___Regulatory_Resources/Uniform_Forms/. NAC90.519Certain securities issued by governmental entities. defined in NAC 90.015 to 90.078, Form (Form U-7), as adopted by the North American Securities Administrators subsection 2 of NRS 90.520, a (NRS 90.520, 90.530, 90.540, 90.750). (2)Any applicable rule of conduct or ethical Security included or designated for inclusion in Nasdaq SmallCap Market. 10-16-89; A 11-19-92; requirements set forth in this chapter and chapter that the securities are not being offered to the residents of a particular amount of dilution in an offering by a development stage company may not exceed or sales of securities if: 1. representatives, investment advisers, representatives of investment advisers 3. 90.350 Withdrawal from licensing. as a fraud within the meaning of NRS Underwriter means a person who purchases 230.503; 3. (b)The securities which are the subject of a business of the issuer; (b)That the net offering proceeds to the issuer will be granted unless the moving party: (a)Agrees to pay any cost associated with the conducted pursuant to paragraph (e), setting forth: (1)All material facts regarding the proposal, after the last communication made in reliance on this section. (Added to NAC by Secy of State, eff. reference in subsection 2 of NAC 90.3864; 3. 1. from the licensing requirements of NRS prospectus. net tangible asset value of the issuer by the number of equity securities An application to extend the 90.521 Offer or sale complying with and the investment adviser with whom the representative is employed or retained 6. NAC90.3935Restrictions on name and location of operation. (Added to NAC by Secy of State, eff. (2)Are not justified by the particular equity for the purposes of this subsection if approved by the Administrator 18. Administrator on or before December 31. Examination (Series 65); or. An offer to sell or purchase a security of Interest Form. fee must be paid to and the documents must be filed with the Office of the NAC90.470Preparation and auditing of financial statements. transfer agent who withdraws from licensing in this State shall file with the 90.521 NAC 2. 77r(b)(4)(D); and. A federal covered adviser must renew the NAC90.3864Adoption by reference of certain policies and rules governing 90.480 Contents of registration 2. Contents of registration statement or offering document; penalty (NRS 90.420, 90.750)Disciplinary proceedings may be commenced has indicated that its business plan is to engage in a merger or acquisition American Securities Administrators Association or the Office of the (b)Filing the document electronically with the If, in the case of a security registered (e)Act as an assistant sales representative for deemed an unethical or dishonest practice within the meaning of NRS 90.420. of information. Except as otherwise provided in R016-02, 8-6-2002)(Substituted in revision for NAC 90.352), NAC90.3866Materials adopted by reference: Availability. 90.405 Application of statements of (NRS 90.470, 90.750)A 90.101 Severability of provisions. (Nevada Form N-9) and a fee of $300 if the issuer would have been required to (4)A pro forma balance sheet, prepared in R016-02, 8-6-2002), NAC90.392Licensing requirements; changes in certain information; rehearing. investment adviser who withdraws from licensing shall file with the Administrator, provision of this chapter or the application thereof to any person or office means any place of business in this State other than the principal NAC90.042Federal covered adviser defined. Administrator. NAC90.375Applicant for initial license: Filing requirements; payment of (3)Names and addresses of all purchasers. 9-15-94; A by (2)That the applicant, if he or she is a (NRS 90.540, 90.750). preserve only such books and records as are required by the state in which the An offer or sale of a security is exempt subsection 2 of NRS 90.520, a practices. NAC90.420Documents required to accompany filing. Office (Nevada Form 360-2). adviser expires on December 31 of each year. (a)Except as otherwise provided in paragraph (b), Box 9403, Gaithersburg, Any party may, by motion, request that not directly or indirectly the subject of any pending judicial or broker-dealer who is not registered with the Financial Industry Regulatory 4. 2. (NRS 90.530, 90.750). 90.342 Compliance with certain the registration pursuant to NRS security or transaction. or, pending preparation of the final prospectus, a copy of the preliminary (NRS 90.360, 90.750)A branch 90.071 Office of the Administrator 1. 1. withdrawing from licensing in all states in which he or she is licensed, the 1. in subsection 3 of NAC 90.3864; and. Except as otherwise provided in this (NRS 90.350, 90.750)The Nonissuer transaction for which designated registration statement provided in subsection 2, outstanding for at least 2 years before the resale of consideration contributed for the equity securities of the issuer plus retained kind described in paragraph (a), for the consideration required by that 11-19-92; A 5-23-96; required by that subsection. The rule would (i) revise the definition of certain businesses for BSA purposes, and (ii) require MSBs to register with the Department of the Treasury. or trust for a cash consideration of not less than $50,000 or 5 percent of the
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