Broker-Dealer & Broker-Dealer Agent Registration Renewal Information

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.

 

Non-FINRA Firms

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

 

Non-FINRA Agents

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