Section 830-X-4-.21 - NASAA Guidelines (Alabama Administrative Code)

§ 830-X-4-.21. NASAA Guidelines

(1) Unless a specific rule promulgated herein or a state statute conflicts with the Guidelines, in which case the specific rule or statute will control, NASAA Guidelines, as published, will provide the basis for review of:

(a) Affiliate Transactions

(b) Options and Warrants

(c) Nonvoting Stock

(d) Cheap Stock

(e) Oil and Gas Programs

(f) Real Estate Programs

(g) Real Estate Investment Trusts

(h) Equipment Programs

(i) Commodity Pool Programs

(2) Other NASAA Guidelines, as published, shall be applied as needed unless such guideline conflicts with a specific rule promulgated herein or a state statute.

Author:

(Filed September 28, 1990.)

Statutory Authority: Code of Ala. 1975, § 8-6-23.

Disclaimer: Although Lawrina works hard to ensure the information on this page is accurate and timely, we take no responsibility for deviations from the official text. Section 830-X-4-.21 NASAA Guidelines may have been updated since our last review. Please refer to official resources for the most accurate information.

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