Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 48 - DEPARTMENT OF BANKING AND FINANCE
Chapter 6 - AGENTS OF BROKER-DEALERS
Section 48-6-006 - TERMINATION
Universal Citation: 48 NE Admin Rules and Regs ch 6 ยง 006
Current through March 20, 2024
To terminate an agent's registration under the Act, a Uniform Termination Notice For Securities Industry Registration ("Form U5") must be submitted by the former employing broker-dealer within thirty days after the agent's termination.
006.01 FINRA broker-dealers must submit the agent's Form U5 to the Director through the CRD/IARD system.
006.02 Non-FINRA broker-dealers must submit the agent's Form U5 directly to the Director.
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