Nebraska Department of Banking and Finance

Nebraska Requirements for Regulation A Tier 2 Offerings

Notice Filing

An issuer conducting a Regulation A Tier 2 offering shall submit the following prior to the initial offer or sale in this state:

 

When to File

A notice filing must be made prior to (i.e. at least one day before) the first offer or sale in Nebraska.  Pursuant to Section 8-1120, the filing date of a document is the date when received by the Department, not the date that the notice is mailed.  It is the issuer’s responsibility to insure that the Department has received the notice prior to making sales in Nebraska.

 

Late Filings with Nebraska

A notice filing filed after the date of the offer sales described above will void the exemption in Nebraska.

 

Renewals and Amendments

At this time, the Department does not require renewal or amendments to be filed.

 

Method of Sales

All sales of securities pursuant to Regulation A, Tier 2 must be must be effected through a Nebraska-registered agent of a Nebraska-registered broker-dealer.