NDBF COVID-19 Consumer and Industry Guidance

Please find the Department's Consumer and Industry guidance here or access them under the "About" section.

IA-BD Renewal Deadline

IA-BD Renewal Deadline

Tuesday, November 3, 2020

NDBF REMINDS INVESTMENT ADVISERS, BROKER-DEALERS OF DECEMBER 31, 2020 RENEWAL DEADLINE

November 2, 2020 (LINCOLN, NEB.) — The Nebraska Department of Banking and Finance ("NDBF") reminds state-registered investment advisers, broker-dealers, and their agents and representatives that registrations in Nebraska expire on December 31, 2020. Firms will need to assemble required documentation and review filings to make sure information is accurate and up-to-date. Failure to submit filings or provide required information by the appropriate deadline will result in the termination of the registration on January 1, 2021.

State-registered investment adviser and investment adviser representative deadlines:

• By December 18, 2020 – Submit Nebraska specific forms and documentation to NDBF

• Before December 26, 2020 – Submit renewal payments through CRD/IARD

• Before December 26, 2020 – Submit required electronic form filings through CRD/IARD

 

FINRA broker-dealer and agent deadlines:

• Before December 26, 2020 – Submit renewal payments through CRD/IARD

• Before December 26, 2020 – Submit required electronic form filings through CRD/IARD

Non-FINRA Broker-Dealers and agents must submit all required forms and documentation to NDBF by December 18, 2020

2021 IA Renewal Notice and Checklist Final.pdf

2021 Non FINRA Renewal Notice and Checklist Final.pdf