The most significant change appears to be that Nebraska is proposing to follow the U.S. Securities and Exchange Commission’s new marketing rule (Rule 206(4)-1) which allows investment advisers to utilize client testimonials. The proposed rule also memorializes the now informal process of allowing an investment adviser representative (“IAR”) without a disciplinary history to dually register at two different investment advisers while transitioning between such firms.
The hearing on the rule proposal is November 10, 2021, at the offices of the Department of Banking and Finance in Lincoln, Nebraska.
- Frequently Asked Questions – SEC Marketing Rule for Investment Adviser Advertising, Marketing and Soliciting
- Frequently Asked Questions – Investment Adviser Representative (“IAR”) Continuing Education
- SEC Adopts New Marketing Rule for Investment Adviser Advertising and Solicitation (1/12/2021)
- Nebraska State-Registered Investment Adviser Renewal Requirements for 2020 (11/8/2020)
- Nebraska Securities Bureau Proposes New Cybersecurity Rule for Investment Advisers (8/14/2019)
- Business Continuity and Succession – SEC and Nebraska Proposed Rules (7/21/2016)
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