NDBF COVID-19 Consumer and Industry Guidance

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

Broker-Dealer & Broker-Dealer Agent Forms

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)