FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It is a resource investors can turn to when choosing whether to do business with a particular broker or brokerage firm.
Unless exempted from verification or pursuant to federal law, no state agency or political subdivision of the State of Nebraska shall provide public benefits to a person not lawfully present in the United States. Every agency or political subdivision of the State of Nebraska shall verify the lawful presence in the United States of any person who has applied for public benefits administered by an agency or a political subdivision of the State of Nebraska.
Forms & Publications
Regulation and Licensing
Summary of Nebraska Broker-Dealer Registration Requirements
Broker-Dealer Firm and Agent Registration Information
Broker-Dealer Firm and Agent Renewal Information
2018 Non FINRA Renewal Notice and Checklist
News & Press Releases
Use of Designations
The Nebraska Department of Banking and Finance, Bureau of Securities issues an interpretative opinion regarding the use of designations in advertising by investment adviser representatives and broker-dealer agents.