Broker-Dealer & Broker-Dealer Agent Forms
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The following forms are in pdf format. You must have Adobe Reader® to access these forms. It is recommended that you have the most recent version of Reader, which is available free from the Adobe website at: http://www.adobe.com/products/acrobat/readstep2.html
Nebraska Requirements Necessary state forms are listed below. Summary of Nebraska Broker-Dealer Registration Requirements - PDF NOTE: The State of Nebraska no longer requires FINRA approved broker-dealers to submit yearly audited financial statements. FINRA FirmsFINRA firms must submit uniform filings using the FINRA Central Registration Depository (CRD) - FINRA Web Site Affidavit of Broker-Dealer Activity in Nebraska - Editable pdf Non-FINRA Firms NOTE: After filling a form, Non-FINRA firms must submit the form in paper to the Director with original signatures. Uniform Application for Broker-Dealer Registration (Form BD) - pdf Affidavit of Broker-Dealer Activity in Nebraska - Editable pdf Corporate Resolution- pdf Bureau of Securities Bond Form - Editable pdf Uniform Request for Broker-Dealer Withdrawal (Form BDW) - pdf FINRA Agents FINRA agents must submit uniform filings using the FINRA Central Registration Depository (CRD) - FINRA Web Site Affidavit of Broker-Dealer Activity in Nebraska - Editable pdf Non-FINRA Agents NOTE: After filling a form, Non-FINRA agents must submit the form in paper to the Director with original signatures. Uniform Application for Securities Industry Registration of Transfer (Form U4) - Editable pdf Uniform Application for Securities Industry Registration of Transfer Instructions (Form U4) - pdf Uniform Termination Notice for Securities Industry Registration (Form U5) - Editable pdf Uniform Termination Notice for Securities Industry Registration Instructions (Form U5) - pdf Uniform Examination Request for Non-FINRA Candidates (Form U10) - pdf For more information on Broker-Dealer and Broker-Dealer agent registrations, please visit our Registration Information page. |
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Nebraska Department of Banking and Finance © 2009
All Rights Reserved