Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 48 - DEPARTMENT OF BANKING AND FINANCE
Chapter 4 - BROKER-DEALERS
Section 48-4-002 - APPLICATION

Universal Citation: 48 NE Admin Rules and Regs ch 4 ยง 002

Current through March 20, 2024

The application for initial registration as a broker-dealer pursuant to Section 8-1103(1) of the Act shall be filed as directed in Section 007, below, and contain the following:

002.01 A copy of Uniform Application for Broker-Dealer Registration ("Form BD"), together with all applicable schedules and exhibits specified therein, complete, accurate and current;

002.02 A completed "Affidavit of Broker-Dealer Activity in Nebraska";

002.03 The financial statements prepared in accordance with Section 003, below;

002.04 A fee in the amount of two hundred fifty dollars ($250.00); and

002.05 Any other information the Director may require.

002.06 A broker-dealer which is not a member of the Financial Industry Regulatory Authority ("FINRA") shall submit the following additional information for an initial application for registration as a broker-dealer pursuant to the Act:

002.06A A signed Form BD;

002.06B A current and correct copy of the firm's articles of incorporation, partnership, or organization, and any amendments thereto, if applicable; and

002.06C A corporate resolution, Form U-2A, if applicable.

Disclaimer: These regulations may not be the most recent version. Nebraska may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.