44-1841. Sale of unregistered securities prohibited; classification A. It is unlawful to sell or offer for sale within or from this state any securities unless the securities have been registered pursuant to article 6 or 7 of this chapter or are federal covered securities if the securities comply with section 44-1843.02 or chapter 13, article […]
44-1842. Transactions by unregistered dealers and salesmen prohibited; classification A. It is unlawful for any dealer to sell or purchase or offer to sell or buy any securities, or for any salesman to sell or offer for sale any securities within or from this state unless the dealer or salesman is registered as such pursuant […]
44-1843. Exempt securities; fee; filing A. Sections 44-1841 and 44-1842, section 44-1843.02, subsections B and C and sections 44-3321 and 44-3325 do not apply to any of the following classes of securities: 1. Securities issued or guaranteed by the United States, by any state, territory or insular possession of the United States, by any political […]
44-1843.01. Nonexempt government securities; covered securities; exemptions A. Notwithstanding section 44-1843, subsection A, paragraph 1, sections 44-1841 and 44-1842 apply to the following classes of securities that are issued by a person who is located in this state, unless the requirements of subsection B or C of this section are met. The requirements of subsection […]
44-1843.02. Special filing requirements for certain exempt or federal covered securities A. Any advertising and sales material, other than the notices required by law to be published or posted, that is used in connection with offers or sales to the public of any of the securities to which section 44-1843.01, subsection A applies shall be […]
44-1844. Exempt transactions A. Except as provided in subsections B and C of this section, sections 44-1841 and 44-1842, section 44-1843.02, subsections B and C and sections 44-3321 and 44-3325 do not apply to any of the following classes of transactions: 1. Transactions by an issuer not involving any public offering. 2. The sale of […]
44-1845. Exemption or special registration of certain securities and transactions by commission rule A. The commission may by its rules, and subject to the terms and conditions prescribed in those rules, add any class of securities or transactions to the securities or transactions exempted as provided by sections 44-1843, 44-1843.01 and 44-1844, if it finds […]
44-1846. Powers of commission to exempt certain securities or transactions A. The commission may grant, in accordance with rules adopted by the commission, exemptions from registration of securities under articles 6 and 7 of this chapter on written petition and on a showing by the issuer satisfactory to the commission that registration is not essential […]
44-1847. Power of commission to exempt certain securities or transactions of regulated issuers The commission may from time to time, by rules and regulations and subject to terms and conditions prescribed therein, add any class of securities or transactions to the securities or transactions exempted as provided in sections 44-1843, 44-1843.01 and 44-1844, if it […]
44-1848. Registration of dealers and salesmen dealing with certain exempt securities or engaging in certain exempt transactions; exemptions A. A dealer or salesman who engages in transactions involving variable contracts, which are exempt under section 44-1843, subsection A, paragraph 4, must register with the commission pursuant to article 9 of this chapter. B. Notwithstanding any […]
44-1849. Real property investment contracts; recording Before the disbursement of funds to any person, a dealer or issuer of a real property investment contract shall cause to be recorded with the recorder of the county in which the real property is located those documents necessary to secure the contract or note being made or sold.
44-1850. Viatical or life settlement investment contracts A. Section 44-1841 does not apply to viatical or life settlement investment contracts if either: 1. The person who assigns, transfers, sells, devises or bequests any portion of the death benefit under or ownership of either an insurance policy or certificate of insurance does not enter into more […]
