Nebraska Department of Banking and Finance

Broker-Dealer & Broker-Dealer Agent Forms

Nebraska Requirements

Necessary state forms are listed below.

Summary of Nebraska Broker-Dealer Registration Requirements

United States Citizenship Attestation Form

Nebraska law requires state agencies to verify the lawful presence of individuals seeking professional licenses. All applicants seeking registrations as registered representatives and/or investment advisor representatives are required to verify and confirm their United States Citizenship or qualified legal alien status. Please complete the forms as appropriate and remit to the Department.

403 Verification Notice
Bureau of Securities citizenship form

 

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 Instructions (Form U4)
Uniform Termination Notice for Securities Industry Registration (Form U5)
Uniform Termination Notice for Securities Industry Registration Instructions (Form U5)
Uniform Examination Request for Non-FINRA Candidates (Form U10)