Broker-Dealer and Broker-Dealer Agent Registrations must be renewed annually by December 31. The following information is provided to assist in renewing a broker-dealer registration in Nebraska. More information on necessary state forms is available from our Broker-Dealer forms page.
FINRA Firms & Agents
Applications and fees for FINRA firms and FINRA agents should be made directly through FINRA's Web Central Registration Depository (CRD)
For information on FINRA's renewal program, click here.
2023 FINRA Annual Renewal Program Letter
Applications and fees for Non-FINRA firms and Non-FINRA agents should be filed directly to the Nebraska Department of Banking and Finance.
Non-FINRA firms must submit the following:
- An updated Form BD with appropriate amendments filed
- An Audited Financial Statement or Certified Financial Statement signed by an officer or by designated principal (must be dated September 30 or later)
- A $250 application fee made payable to the Nebraska Department of Banking and Finance
2023 Non FINRA Renewal Notice and Checklist
Non-FINRA agents must submit the following:
- An updated Form U4 with appropriate amendments filed
- A $40 application fee made payable to the Nebraska Department of Banking and Finance