NDBF REMINDS INVESTMENT ADVISERS, BROKER-DEALERS OF 12/31/22 RENEWAL DEADLINE

NDBF REMINDS INVESTMENT ADVISERS, BROKER-DEALERS OF 12/31/22 RENEWAL DEADLINE

Tuesday, November 1, 2022 (All day)

November 1, 2022 (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, 2022. Firms will need to assemble required documentation and review filings to insure all information is accurate and up-to-date. Failure to submit supplements or provide required information by the appropriate deadline will result in the termination of the registration on January 1, 2023.

NDBF will again be utilizing ShareFile for firms to submit all supplements and correspondence. NDBF will send out a secure ShareFile link, unique to each firm, with the initial Notification dated November 1, 2022.  If you do not receive the notification, please email NDBF at DOB.SecuritiesBureau@Nebraska.gov to request a link.

FINRA Broker-Dealers and Agents please adhere to FINRA’s 2023 Annual Renewal Program and Timeline.

State-registered Investment Adviser and Investment Adviser Representative deadlines:

• By December 16, 2022 – Submit Nebraska specific forms and documentation to NDBF

• Before December 22, 2022 – Submit renewal payments through CRD/IARD

Non-FINRA Broker-Dealers and Agents must submit all required forms and documentation to NDBF by December 16, 2022, via ShareFile link. The Department encourages firms to remit fees electronically via ACH if possible.