Nebraska Requirements
Necessary state forms are listed below.
Summary of Nebraska Broker-Dealer Registration Requirements
FINRA Firms
FINRA firms must submit uniform filings using the FINRA Central Registration Depository (FINRA)
Affidavit of Broker-Dealer Activity in Nebraska
Non-FINRA Firms
NOTE: After filling a form, Non-FINRA firms must submit the form in paper to the Director with original signatures.
Uniform Application for Broker-Dealer Registration (Form BD)
Affidavit of Broker-Dealer Activity in Nebraska
Corporate Resolution
Bureau of Securities Bond Form
Uniform Request for Broker-Dealer Withdrawal (Form BDW)
FINRA Agents
FINRA agents must submit uniform filings using the FINRA Central Registration Depository (CRD) FINRA Web Site
Non-FINRA Agents
NOTE: After filling a form, Non-FINRA agents must submit the form in paper to the Director with original signatures.
Uniform Application for Securities Industry Registration of Transfer Form U4
Uniform Application for Securities Industry Registration of Transfer Instruction Form U4
Uniform Termination Notice of Securities Industry Registration Form U5
Uniform Termination Notice for Securities Industry Registration Instructions Form U5
Examination Request for Non-FINRA Candidates U10
