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A.Design-builders who have submitted bona fide proposals may, within seven days of the announcement of the technical scores, challenge the scores based on any of the foregoing reasons, and only those reasons, by submitting a letter to the head of the public agency describing in detail the reasons for the challenge. The head of the public agency shall have the authority to resolve any challenge concerning the award of a contract. A written decision shall be rendered within 14 days and shall be mailed or otherwise furnished immediately to the design-builder making the challenge. The decision shall be final and no appeal based on price will be allowed unless:

1.the decision is fraudulent; or
2.the appeal is timely:
a.if the public agency is a state entity, the person adversely affected by the decision has timely appealed to the court in accordance with R.S. 39:1691(A);
b.if the public agency is a non-state entity, the person adversely affected by the decision has timely appealed to the court of proper venue for the public agency.

AUTHORITY NOTE:Promulgated in accordance with R.S. 39:121 and RS 38:2225.2.1.

HISTORICAL NOTE:Promulgated by the Office of the Governor, Division of Administration, Office of Facility Planning and Control, LR 34:2125 (October 2008).

§199.Technical Proposal—Finality

A.Once the design-builder has been chosen and a contract for a stipulated schedule and sum certain price executed, the price of the design-build contract shall not be increased other than for inflation as prescribed in the contract and for site or other conditions of which the design-builder had no knowledge and should not have had knowledge as a reasonable possibility existing at the site or concerning the design and construction or for changes on the scope of work by the public agency.

AUTHORITY NOTE:Promulgated in accordance with R.S. 39:121 and RS 38:2225.2.1.

HISTORICAL NOTE:Promulgated by the Office of the Governor, Division of Administration, Office of Facility Planning and Control, LR 34:2125 (October 2008).

Jerry W. Jones

Director

0810#048

RULE

Office of the Governor

Office of Financial Institutions

Compensatory Benefit Plan (LAC 10:XIII.801)

In accordance with the Louisiana Securities Law, R.S. 51:701 et seq., and particularly, R.S. 51:709(15), and the Louisiana Administrative Procedure Act, R.S.49:950 et seq., the commissioner of the Office of Financial Institutions hereby adopts LAC 10:XIII.801, a Rule to establish an exemption for Compensatory Benefit Plan securities and transactions.

Title 10

FINANCIAL INSTITUTIONS, CONSUMER CREDIT, INVESTMENT SECURITIES AND UCC

Part XIII.  Investment Securities

Subpart 1.  Securities

Chapter 8.Compensatory Benefit Plans

§801.Compensatory Benefit Plan Exemption

A.By authority delegated to the commissioner in R.S.51:709(15) to promulgate rules thereunder, a security or transaction described in Subsection B is determined to be exempt from the registration requirements of R.S.51:705.

B.Offers or sales of a security by an issuer pursuant to a written compensatory benefit plan or contract, including, without limitation, a purchase, savings, option, bonus, salary appreciation, profit-sharing, thrift, incentive, pension or similar plan, and interests in any such plan, provided that the offers and sales qualify for use of the registration exemption in Rule 230.701 under Section 28 of the Securities Act of 1933.

AUTHORITY NOTE:Promulgated in accordance with R.S.51:709(15)

HISTORICAL NOTE:Promulgated by the Office of the Governor, Office of Financial Institutions, LR 34:2125 (October 2008).

John Ducrest

Commissioner

0810#025

RULE

Office of the Governor

Office of Financial Institutions

Third-Party Solicitor Exemptions (LAC 10:XIII.1301 and 1311)

In accordance with the Louisiana Securities Law, R.S.51:701 et seq., and particularly, R.S.51:703(D)(2)(a), and the Louisiana Administrative Procedure Act, R.S.49:950 et seq., the Commissioner of the Office of Financial Institutions hereby amends LAC 10:XIII.1301 and 1311 to provide an exemption for Third-Party Solicitors from the examination requirements established in LAC 10:XIII, Chapter 13.

Title 10

FINANCIAL INSTITUTIONS, CONSUMER CREDIT, INVESTMENT SECURITIES AND UCC

Part XIII.  Investment Securities

Subpart 1.  Securities

Chapter 13.Investment Adviser Registration Procedure

§1301.Definitions

A....

B.Third-Party Solicitoran investment adviser representative who meets all of the following criteria:

1.investment advisory business consists solely of referring individuals to other investment adviser firm(s);
2.provides no advice to individuals regarding specific investments;

Louisiana Register   Vol. 34, No. 10   October 20, 2008

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