reglab/housing_qa huggingface dataset:
NE Code § 8-1114 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1114 - Unlawful representation concerning merits of registration or exemption.

8-1114.  Unlawful representation concerning merits of registration or exemption.Neither the fact that an application for registration or notice filing under section 8-1103, a notice filing under section 8-1108.02, or a registration statement under section 8-1106 or 8-1107 has been filed, nor the fact that a person or security is effectively registered, shall constitute a finding by the director that any document filed under the Securities Act of Nebraska is true, complete, and not misleading. Neither any such fact nor the fact that an exemption or exception is available for a security or a transaction shall mean that the director has passed in any way upon the merits or qualifications of, or recommended or given approval to, any person, security, or transaction. It shall be unlawful to make, or cause to be made, to any prospective purchaser, customer, or client any representation inconsistent with this section.Source   Laws 1965, c. 549, § 14, p. 1790;   Laws 1997, LB 335, § 8;  Laws 2013, LB214, § 7.
NE Code § 8-1115 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1115 - Investigations; subpoena; director; powers.

8-1115.  Investigations; subpoena; director; powers.(1) The director in his or her discretion (a) may make such public or private investigations within or without this state as he or she deems necessary to determine whether any registration should be granted, denied, or revoked or whether any person has violated or is about to violate the Securities Act of Nebraska or any rule and regulation or order under the act or to aid in the enforcement of the act or in the adopting and promulgating of rules and regulations and the prescribing of forms under the act, (b) may require or permit any person to file a statement in writing, under oath or otherwise as the director may determine, as to all the facts and circumstances concerning the matter to be investigated, and (c) may publish information concerning any violation of the act or any rule and regulation or order under the act. In the discretion of the director, the actual expense of any such investigation may be charged to the applicant or person who is the subject of the investigation.(2) For the purpose of any investigation or proceeding under the act, the director or any person designated by him or her may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the director deems relevant or material to the inquiry.(3) At the request of an administrator responsible for enforcement of the securities laws of another state, the director may issue subpoenas to compel the attendance of any person or require the production of records in this state if the alleged violation being investigated would be a violation of the Securities Act of Nebraska if the activities had occurred in this state.(4) In case of contumacy by or refusal to obey a subpoena issued to any person, any court of competent jurisdiction, upon application by the director, may issue to such person an order requiring him or her to appear before the director, or the officer designated by the director, there to produce documentary evidence if so ordered or to give evidence touching the matter under investigation or in question. Any failure to obey the order of the court may be punished by the court as a contempt of court.Source   Laws 1965, c. 549, § 15, p. 1791;   Laws 1987, LB 497, § 1;  Laws 2017, LB148, § 14.
NE Code § 8-1115.01 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1115.01 - Investigation or other proceeding; prohibited acts.

8-1115.01.  Investigation or other proceeding; prohibited acts.It shall be unlawful for any person with respect to any investigation or other proceeding under the Securities Act of Nebraska to: (1) Alter, destroy, mutilate, or conceal; (2) make a false entry in or by any means falsify; or (3) remove from any place or withhold from investigators or officials any record, document, or electronic or physical evidence with the intent to impede, obstruct, avoid, evade, or influence the investigation or administration of any other proceeding under the act.Source Laws 2009, LB113, § 2.
NE Code § 8-1116 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1116 - Violations; injunction; receiver; appointment; additional court orders authorized.

8-1116.  Violations; injunction; receiver; appointment; additional court orders authorized.Whenever it appears to the director that any person has engaged or is about to engage in any act or practice constituting a violation of any provision of the Securities Act of Nebraska or any rule and regulation or order under the act, the director may in his or her discretion bring an action in any court of competent jurisdiction to enjoin any such acts or practices and to enforce compliance with the Securities Act of Nebraska or any rule and regulation or order under the act. Upon a proper showing, a permanent or temporary injunction, restraining order, or writ of mandamus shall be granted and a receiver or conservator may be appointed for the defendant's assets. Upon a proper showing by the director, the court may invoke its equitable powers under the law and issue an order of rescission, restitution, or disgorgement, an order freezing assets, an order requiring an accounting, or a writ of attachment or writ of general or specific execution, directed to any person who has engaged in or is engaging in any act constituting a violation of any provision of the Securities Act of Nebraska or any rule and regulation or order under the act. The director shall not be required to post a bond.Source   Laws 1965, c. 549, § 16, p. 1792;   Laws 1998, LB 894, § 3;  Laws 2009, LB113, § 3;  Laws 2017, LB148, § 15.
NE Code § 8-1117 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1117 - Violations; penalty.

8-1117.  Violations; penalty.(1) Any person who willfully violates any provision of the Securities Act of Nebraska except section 8-1113, or who willfully violates any rule and regulation or order under the act, or who willfully violates the provisions of section 8-1113 knowing the statement made to be false or misleading in any material respect is guilty of a Class IV felony. No indictment may be returned or information filed under the act more than five years after the alleged violation.(2) The director may refer such evidence as may be available concerning violations of the act or any rule and regulation or order under the act to the Attorney General or the proper county attorney, who may in his or her discretion, with or without such a reference, institute the appropriate criminal proceedings under the act.(3) Nothing in the act shall limit the power of the state to punish any person for any conduct which constitutes a crime by statute or at common law.Source   Laws 1965, c. 549, § 17, p. 1792;   Laws 1977, LB 40, § 65;   Laws 1998, LB 894, § 4;  Laws 2017, LB148, § 16.  Annotations  To sustain a conviction under either the fraud or registration provisions of the Uniform Securities Act, specific intent need not be proved, and "willful" may mean no more than that the actor was aware of what he or she was doing. State v. Irons, 254 Neb. 18, 574 N.W.2d 144 (1998). Proof of a specific intent, evil motive, or knowledge that the law was being violated is not required to sustain conviction of willful violation of the securities act. State v. Fries, 214 Neb. 874, 337 N.W.2d 398 (1983).
NE Code § 8-1119 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1119 - Appeal; procedure.

8-1119.  Appeal; procedure.Any person aggrieved by a final order of the director may appeal the order, and the appeal shall be in accordance with the Administrative Procedure Act.Source   Laws 1965, c. 549, § 19, p. 1794;   Laws 1988, LB 352, § 12. Cross References  Administrative Procedure Act, see section 84-920.
NE Code § 8-1121 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1121 - Exemption or exception; burden of proof.

8-1121.  Exemption or exception; burden of proof.In any proceeding under the Securities Act of Nebraska, the burden of proving an exemption or an exception from a definition shall be upon the person claiming it.Source   Laws 1965, c. 549, § 21, p. 1797;   Laws 1998, LB 894, § 5. Annotations Defendant bears the burden of proving a claim of exemption when raising the issue as a defense to a charge of unlawful sale of unregistered securities. State v. Fries, 214 Neb. 874, 337 N.W.2d 398 (1983).
NE Code § 8-1122 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1122 - Act; how construed.

8-1122.  Act; how construed.The Securities Act of Nebraska shall be construed as to effectuate its general purpose to make uniform the law of those states which enact it and to coordinate the interpretation and administration of the act with the related federal regulation.Source   Laws 1965, c. 549, § 22, p. 1797;   Laws 1998, LB 894, § 6.
NE Code § 8-1122.01 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1122.01 - Federal limits rejected.

8-1122.01.  Federal limits rejected.The federal limits on the registration of securities, dealers, brokers, broker-dealers, agents, and investment advisers as provided in the federal Philanthropy Protection Act of 1995, Public Law 104-62, shall not apply in Nebraska and are hereby rejected by the State of Nebraska pursuant to section 6(c) of such act. The State of Nebraska elects to retain the authority to require or not require such registration under the Securities Act of Nebraska and to retain the authority to have such registration requirements apply in all administrative and judicial actions commenced after July 15, 1998.Source   Laws 1998, LB 1180, § 1;  Laws 2017, LB148, § 19.
NE Code § 8-1123 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1123 - Act, how cited.

8-1123.  Act, how cited.Sections 8-1101 to 8-1123 shall be known and may be cited as the Securities Act of Nebraska.Source   Laws 1965, c. 549, § 23, p. 1797;   Laws 1997, LB 335, § 11;   Laws 1998, LB 1180, § 2;  Laws 2002, LB 957, § 11;  Laws 2009, LB113, § 4;  Laws 2017, LB148, § 20.
NE Code § 8-1301 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1301 - Terms, defined.

8-1301.  Terms, defined.For the purposes of sections 8-1302 and 8-1303, unless the context otherwise requires:(1) Fiduciary shall mean a trustee under any trust, expressed, implied, resulting, or constructive, personal representative, administrator, guardian, committee, conservator, curator, tutor, custodian, nominee, receiver, trustee in bankruptcy, assignee for the benefit of creditors, partner, member, agent, officer of any corporation, public or private, public officer, or any other person acting in a fiduciary capacity for any person, trust, or estate; and(2) Person shall mean any individual, corporation, government or governmental subdivision or agency, business trust, estate, trust, partnership, limited liability company, association, two or more persons having a joint or common interest, or other legal or commercial entity.Source   Laws 1977, LB 500, § 2;   Laws 1986, LB 909, § 12;   Laws 1993, LB 121, § 101.
NE Code § 8-1302 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1302 - Deposit in a clearing corporation; procedure; rules and regulations; applicability.

8-1302.  Deposit in a clearing corporation; procedure; rules and regulations; applicability.(1) Notwithstanding any other provision of law, any fiduciary holding securities in its fiduciary capacity, any bank or trust company holding securities as a custodian or managing agent, and any bank or trust company holding securities as custodian for a fiduciary is authorized to deposit or arrange for the deposit of such securities in a clearing corporation, as defined in section 8-102, Uniform Commercial Code, or with any other agency or organization. When such securities are so deposited, certificates representing securities of the same class of the same issuer may be merged and held in bulk in the name of the nominee of such clearing corporation, agency or other organization with any other such securities deposited in such clearing corporation by any person regardless of the ownership of such securities. Certificates of small denomination may be merged into one or more certificates of larger denomination. The records of such fiduciary and the records of such bank or trust company acting as custodian, as managing agent, or as custodian for a fiduciary shall at all times show the name of the party for whose account the securities are so deposited. Title to such securities may be transferred by bookkeeping entry on the books of such clearing corporation, agency or other organization without physical delivery of certificates representing such securities. A bank or trust company so depositing securities pursuant to this section shall be subject to such rules and regulations as, in the case of state-chartered institutions, the Director of Banking and Finance or, in the case of national banking associations, the Comptroller of the Currency may from time to time issue. A bank or trust company acting as custodian for a fiduciary shall, on demand by the fiduciary, certify in writing to the fiduciary the securities so deposited by such bank or trust company in such clearing corporation, agency or other organization for the account of such fiduciary. A fiduciary shall, on demand by any party to a judicial proceeding for the settlement of such fiduciary's account or on demand by the attorney for such party, certify in writing to such party the securities deposited by such fiduciary in such clearing corporation, agency or other organization for its account as such fiduciary.(2) This section shall apply to any fiduciary holding securities in its fiduciary capacity, and to any bank or trust company holding securities as a custodian, managing agent, or custodian for a fiduciary, acting on September 2, 1977, or who thereafter may act regardless of the date of the agreement, instrument, or court order by which it is appointed and regardless of whether or not such fiduciary, custodian, managing agent, or custodian for a fiduciary owns capital stock of such clearing corporation.Source   Laws 1977, LB 500, § 3;   Laws 1978, LB 763, § 1.
NE Code § 8-1303 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1303 - Deposit of United States Government securities with a federal reserve bank; procedure; rules and regulations; applicability.

8-1303.  Deposit of United States Government securities with a federal reserve bank; procedure; rules and regulations; applicability.(1) Notwithstanding any other provision of law, any bank or trust company, when acting as a fiduciary and any bank or trust company, when holding securities as custodian for a fiduciary, is authorized to deposit, or arrange for the deposit, with the federal reserve bank in its district of any securities the principal and interest of which the United States or any department, agency, or instrumentality thereof has agreed to pay, or has guaranteed payment, to be credited to one or more accounts on the books of such federal reserve bank in the name of such bank or trust company, to be designated fiduciary or safekeeping accounts, to which account other similar securities may be credited. A bank or trust company so depositing securities with a federal reserve bank shall be subject to such rules and regulations with respect to the making and maintenance of such deposit as, in the case of state-chartered institutions, the Director of Banking and Finance or, in the case of national banking associations, the Comptroller of the Currency may from time to time issue. The records of such bank or trust company shall at all times show the ownership of the securities held in such account. Ownership of, and other interests in, the securities credited to such account may be transferred by entries on the books of such federal reserve bank without physical delivery of any securities. A bank or trust company acting as custodian for a fiduciary shall, on demand by the fiduciary, certify in writing to the fiduciary the securities so deposited by such bank or trust company with such federal reserve bank for the account of such fiduciary. A fiduciary shall, on demand by any party to its accounting or on demand by the attorney for such party, certify in writing to such party the securities deposited by such fiduciary with such federal reserve bank for its account as such fiduciary.(2) This section shall apply to all fiduciaries, and custodians for fiduciaries, acting on September 2, 1977, or who thereafter may act regardless of the date of the instrument or court order by which they are appointed.Source  Laws 1977, LB 500, § 4.
NE Code § 8-1402 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1402 - Provide records or information; costs.

8-1402.  Provide records or information; costs.(1) Any person, party, agency, or organization requesting disclosure of records or information pursuant to section 8-1401 shall pay the costs of providing such records or information unless:(a) The request for disclosure is made pursuant to subdivision (1)(a) of section 8-1401 and a Nebraska Supreme Court rule provides for the method of payment;(b) The request for disclosure is made pursuant to subdivision (1)(d) or (1)(e) of section 8-1401;(c) Otherwise ordered by a court of competent jurisdiction; or(d) The person making the disclosure waives any or all of the costs.(2)(a) The requesting person, party, agency, or organization shall pay the actual cost of providing the records or information.(b) For purposes of this subsection, actual cost means:(i) Search and processing costs, including the total amount of personnel direct time incurred in locating and retrieving, reproducing, packaging, and preparing records or information for shipment or delivery. Search and processing costs may include the actual cost of extracting information stored by computer in the format in which it is normally produced, based on computer time and necessary supplies;(ii) Reproduction costs incurred in making copies of records or information requested. The rate for reproduction costs for making copies of requested records or information shall be the usual rate charged by the person making the disclosure to its customers for reproducing copies, including copies produced by reader-printer reproduction processes. Photographs, films, and other materials shall be reimbursed at actual cost; and(iii) Transportation costs, including transport of personnel to locate and retrieve the records or information requested and including all other reasonably necessary costs to convey the records or information.(3) No person authorized to receive payment pursuant to subsection (1) of this section has an obligation to provide any records or information pursuant to section 8-1401 until assurances are received that the costs due under this section will be paid, except for requests made pursuant to subdivisions (1)(d), (1)(e), (1)(f), and (1)(g) of section 8-1401.Source   Laws 1979, LB 216, § 2;   Laws 1995, LB 384, § 11;   Laws 1998, LB 1104, § 2;  Laws 2002, LB 957, § 13;  Laws 2003, LB 156, § 2;  Laws 2014, LB788, § 4;  Laws 2015, LB155, § 4.
NE Code § 8-1403 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1403 - Terms, defined.

8-1403.  Terms, defined.For purposes of sections 8-1401, 8-1402, and 8-1404:(1) Governmental agency means any agency, department, or commission of this state or any authorized officer, employee, or agent of such agency, department, or commission;(2) Law enforcement agency means an agency or department of this state or of any political subdivision of this state that obtains, serves, and enforces arrest warrants or that conducts or engages in prosecutions for violations of the law; and(3) Person means any individual, corporation, partnership, limited liability company, association, joint-stock association, trust, unincorporated organization, and any other legal entity.Source  Laws 2003, LB 156, § 3;  Laws 2014, LB788, § 6.
NE Code § 8-1501 (2021)
2021 Nebraska Revised Statutes|Chapter 8 - Banks and Banking|8-1501 - Terms, defined.

8-1501.  Terms, defined.For purposes of sections 8-1501 to 8-1505, unless the context otherwise requires:(1) Person means an individual, corporation, partnership, limited liability company, trust, association, joint venture, pool, syndicate, sole proprietorship, unincorporated organization, or other form of entity not specifically listed in this subdivision; and(2) Control means to own directly or indirectly or to control in any manner twenty-five percent or more of the voting shares of any bank, trust company, or holding company or to control in any manner the election of the majority of directors of any bank, trust company, or holding company.Source   Laws 1983, LB 240, § 1;   Laws 1993, LB 121, § 102;   Laws 1995, LB 599, § 5;  Laws 2003, LB 131, § 11.