Effective December 2018, a new portal will be available for Investment Advisers and Broker-Dealers to submit information for the citizenship verification process. Information about the new portal can be found here.
Effective June 25, 2011, Chapters 1 and 15 of Title 48 of the Nebraska Administrative Code have been amended. Please ensure you have the most recent version of these Chapters.
Revised Chapter 1 updates the Department address.
Revised Chapter 15 provides for the filing of financial statements and sales reports by certain issuers claiming a transactional exemption from securities registration pursuant to 48 NAC 15 and Neb. Rev. Stat. § 8-1111(9). The revisions implement statutory changes enacted in 2010 and apply to issuers who make filings in five consecutive years or who sell in excess of $1 million dollars in securities.