Nebraska Proposes Adoption Of NASAA Policy Statements, Cyber Requirements For Advisers

The Nebraska Department of Banking and Finance will hold a rulemaking hearing on August 19, 2019, concerning revisions to the state’s securities rules. The suggested changes include by reference some NASAA Statements of Policy that would now govern offerings signed up under the Nebraska Securities Act. The amendments would also adopt cybersecurity and related recordkeeping requirements for investment advisers, repeal the state’s Uniform Limited Offering Exemption following the SEC’s repeal of Rule 505, and eliminate certain manual personal and physical check requirements. NASAA Statements of Policy. Cybersecurity requirements for investment advisers.

A new provision requires every signed up investment adviser to determine, update, and enforce written physical security and cybersecurity guidelines and techniques designed to ensure the confidentiality reasonably, integrity, and availability of physical and electronic information and records. Another new provision stipulates that an investment adviser’s use of the client’s password to gain access to the client’s account is a dishonest and unethical business practice.

An investment adviser’s failing to establish, maintain, and enforce a required policy constitutes a dishonest and unethical business practice. Federal covered securities, repeal of ULOE. Proposed amendments would get rid of the requirement that issuers offering securities in Nebraska under federal Regulation A, Tier 2 use a broker-dealer, provided no commissions or other remuneration are paid. Manual signatures and physical assessments. Proposed amendments eliminate requirements for manual signatures and the payment of filing fees by physical bank checks or money purchases by broker-dealers. Nebraska Intrastate Issuer Exemption. Obtain comments. All the suggested guidelines can be found on the Section of Financing and Bank website. All interested individuals are invited to wait and testify at the hearing. Interested persons may also submit written comments to the Department prior to the hearing.

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