The following links for the Department’s Administrative Rules and Regulations will take you to a pdf of the designated chapter or appendix. If you notice a problem with the rules as listed on that site, contact us.
To print a complete index summarizing the subject matter of the Department’s currently applicable Administrative Rules and Regulations and Guidance Documents, 
Click here for a PDF version.
Disclaimer:
Every effort is being made by the Secretary of State's office to make sure the online version of the Nebraska Administrative Code on the Secretary of State website is complete and accurate. However, due to the volume, they have not been proofread for accuracy against the official paper text of the code on file with the Secretary of State.
We recommend that the Internet version of the code be used for research and informational purposes only. For legal purposes certified copies of the Nebraska Administrative Code are available through the Nebraska Secretary of State's Office (402-471-2385 or 402-471-2555).
Title 45 — Banking Rules
- Repealed (November 25, 2018)
- Repealed (November 25, 2018)
- Repealed (November 25, 2018)
- Repealed (November 25, 2018)
- Repealed (November 25, 2018)
- General
Establishes general standards for the maintenance of the records for state banks. - Data Processing Rider or Endorsement
Sets forth necessary requirements for data processing riders or endorsements for state banks that use data processing entities to create or maintain their accounting records. - Articles of Incorporation
Contains articles of incorporation filing requirements for state banks. - Change in Control (Repealed)
Repealed. - Repealed (November 25, 2018)
- Board of Directors; Residence (Repealed)
Repealed. - Paid-In Capital Stock Increase
Establishes procedures for when paid-in capital stock is increased. - Repealed (November 25, 2018)
- Repealed (November 25, 2018)
- Executive Officer’s License (Repealed)
Repealed. - Director, Officer or Employee Borrowing
Establishes policies for when directors, officers or employees of a state bank borrow funds. - Officer Borrowing
Sets forth procedures for when an officer of a state bank borrows or becomes indebted to another financial institution.
- Pool Participation Approval
Establishes the application requirement for pool participation approval by the Department.
- Livestock Loans
Contains requirements for the proper administration of livestock loans.
- Loans Secured by Warehouse Receipts
Establishes minimum standards for certain loans secured by warehouse receipts. - Trust Department Applications
Establishes the application process for state banks to be approved to conduct trust business.
- Repealed (November 25, 2018)
- Minimum Record Keeping Standards
Establishes minimum record keeping standards for state banks.
- Directors’ Examinations Performed by Certified Public Accountants or Public Accountants
Establishes procedures for when a state bank opts for one annual audit by an accountant or accounting firm, in lieu of an annual examination by the board of directors. - Standards for Acceptability and Scope of Examinations for Directors’ Examinations
Sets forth acceptability standards for, and the scope of, state bank annual directors’ examinations. - Banks: Leasing of Personal Property
Establishes authority for when state banks may lease personal property. - Schedule for Records Retention by Banks
Contains the records retention schedule and requirements for state banks.
- Rules of Practice and Procedure Applicable to Executive Officers Licenses Obtained from the Nebraska Department of Banking and Finance Pursuant to Nebraska Revised Statutes, 1943.
Sets forth rules of practice and procedure for executive officer license applications, renewals, surrenders, cancellations and revocations for state banks. - Repealed (November 25, 2018)
- Requirements for Purchases of Shares of Investment Companies
Contains rules governing when a state bank purchases investment company shares. - Loans Secured by Deposit Accounts
Establishes regulations for loans secured by deposit accounts.
- Schedule for Retention of Records: Banks Exercising Trust Powers and Trust Companies
Contains the records retention schedule and requirements for banks exercising trust powers and stand-alone trust companies.
Title 46 — Savings & Loan, Credit Union Rules
- Instructions for Conversion of a Savings and Loan or Building and Loan to a Capital Stock Savings Association
Directs industry to instructions on applications to convert from a mutual savings and loan to a stock form organization. - Minimum Capital Requirements Needed To Form A Newly Organized Capital Stock Savings Association
Establishes a schedule for minimum capital requirements for newly-organized stock-owned savings and loan associations. - Credit Union Supervisory Committee's Annual Audit
Sets forth the minimum standards for annual audits of the books and records of credit unions.
Title 48 — Securities Rules
- General Provisions
Rule outlining general provisions applicable in all chapters of Title 48. - Definitions
Rule defining terms used in all chapters of Title 48. - Definition of an Offer
- Chapter 3 Appendix
Rule defining the term “offer” as used in Title 48.
- Broker-Dealers
- Chapter 4 Appendix
Rule containing provisions governing broker-dealers registered in Nebraska.
- Issuer-Dealers
Rule containing provisions governing issuer-dealers registered in Nebraska. - Agents of Broker-Dealers
- Chapter 6 Appendix
Rule containing provisions governing agents of issuer-dealers registered in Nebraska.
- Investment Advisers
- Chapter 7 Appendix
Rule containing provisions governing investment advisers registered in Nebraska.
- Federal Covered Advisers
Rule containing provisions governing federal covered advisers who have notice-filed in Nebraska. - Investment Adviser Representatives
Rule containing provisions governing investment advisers registered in Nebraska. - Recordkeeping by Investment Advisers
- Chapter 10 Appendix
Rule prescribing record keeping requirements for investment advisers.
- Performance Based Compensation
Rule prescribing requirements for investment advisers who receive performance based compensation. - Fraudulent, Dishonest and Unethical Business Practices
- Chapter 12 Appendix
Rule defining conduct that constitutes fraudulent, dishonest, or unethical business practices for broker-dealers, agents of broker dealers, investment advisers, federal covered advisers, and investment adviser representatives.
- Approved Exchanges for the Section 8-1110(5) Exchange Exemption
- Chapter 13 Appendix
Rule designating approved exchanges for the exchange exemption.
- Record-Keeping Requirements for the Section 8-1111(3) Exemption
Rule prescribing requirement keeping requirements for issuers relying upon the Section 8-1111(3) exemption. - Information Requirements for the Section 8-1111(9) De Minimus Exemption
Rule prescribing filing requirements for issuers relying upon the de minimis exemption. - Information Requirements for the Section 8-1111(15) Agricultural Cooperative Exemption
Rule prescribing filing requirements for issuers relying upon the cooperative exemption. - Repealed (November 27, 2019)
- Information Requirements for the Section 8-1111(20) Nebraska Intrastate Issuer Exemption
- Chapter 18 Appendix
Rule prescribing filing requirements for issuers relying upon the Nebraska intrastate issuer exemption.
- Requests to Cure Late Notice Filings
Rule prescribing filing requirements for issuers seeking an Order curing a late-filed notice filing - Federal Covered Securities
- Chapter 20 Appendix
Rule prescribing filing requirements for issuers offering federal covered securities in Nebraska.
- North American Securities Administrators Association Statements of Policy
- Asset Backed Securities
- Cattle Feeding Programs
- Church Extension Fund Securities
- Commodity Pool Programs
- Corporate Securities Definitions
- Debt Securities
- Electronic Offering Documents and Electronic Signatures
- Equipment Programs
- Impoundment of Proceeds
- Loans and Other Material Transactions
- Mortgage Program Guidelines
- Oil and Gas Programs
- Omnibus Guidelines
- Options and Warrants
- Preferred Stock
- Promoters Equity Investment
- Promotional Shares
- Real Estate Investment Trusts
- Real Estate Programs
- Specificity in Use of Proceeds
- Underwriting Expenses
- Unequal Voting Rights
- Unsound Financial Condition
Rule adopting various North American Securities Administrators Association Statements of Policy pertaining to the registration of securities
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 27, 2019)
- Repealed (November 25, 2018)
- Repealed (November 27, 2019)
- Sales of Securities at Financial Institutions
Rule prescribing requirements related to the sale of securities at financial institutions. - Information Requirements for the Section 8-1111(23) Notice
- Chapter 38 Appendix
Rule prescribing filing requirements for issuers relying upon the Nebraska small intrastate issuer exemption.
- Conditions and Information Requirements for the Section 8-1111(24) Crowdfunding Exemption
- Chapter 39 Appendix
Rule prescribing requirements for issuers conducting an intrastate crowdfunding offering.
- Portal Operators
Rule prescribing requirements for portal operators facilitating intrastate crowdfunding offerings. - Integration of Exempt Offerings Pursuant to Section 8-1111
Rule prescribing factors that the Department will consider when determining whether offerings should be integrated. - Exclusion of Investment Advisers to Private Funds From the Definition of 'Investment Adviser'
Rule establishing an exclusion from the definition of “investment adviser” for advisers to private funds who meet certain requirements.
Title 49 — Department Rules of Procedure
- General Provisions Relating to Practice and Procedures before the Department of Banking and Finance
Rule prescribing definitions used throughout Title 49, and prescribing standards for computation of time under the rules and statutes applicable to a proceeding. - Rules of Practice and Procedure for Hearings in Application Cases
Rule prescribing procedures related to hearings on applications filed with the Department. - Proof Requirements for Granting of Applications
Rule prescribing proof requirements that must be met to approve applications before the Department. - Rule of Practice and Procedure for Hearings in Contested Cases
Rule prescribing procedures for contested cases before the Department. - Rule of Procedure for Declaratory Actions
Rule prescribing procedures for declaratory actions before the Department. - Rule of Procedure for Negotiated Rulemaking
Rule prescribing procedures for negotiated rulemaking. - Rule of Procedure for Petitioning for Rule Making
Rule prescribing procedures for petitioning the Department for rulemaking.
Title 50 — Consumer Rental Purchase Rules
- Disclosure Requirements for Consumer Rental Purchase Agreements
Rule prescribing requirements for disclosures in consumer rental purchase agreements and providing a model form.
