SECURITIES LICENSE RENEWAL DEADLINE

SECURITIES LICENSE RENEWAL DEADLINE

Monday, November 5, 2018

NDBF REMINDS INVESTMENT ADVISERS, BROKER-DEALERS OF DECEMBER 31, 2018 RENEWAL DEADLINE

November 2, 2018 (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, 2018.  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, 2019.

State-registered investment adviser and investment adviser representative deadlines:

  • By December 21, 2018 – Submit Nebraska specific forms and documentation to NDBF

  • Before December 27, 2018 – Submit renewal payments through CRD/IARD

  • Before December 27, 2018 – Submit required electronic form filings through CRD/IARD

    FINRA broker-dealer and agent deadlines:

  • Before December 27, 2018 – Submit renewal payments through CRD/IARD

  • Before December 27, 2018 – 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 21, 2018.

2019 IA Renewal Notice.pdf

2019 Non FINRA Renewal Notice and Checklist.pdf