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.
The Nebraska Department of Banking and Finance is required to verify the immigration status of all individuals registering with the Department as agents and/or investment adviser representatives. The Securities Act of Nebraska and implementing rules require broker-dealers and investment advisers to verify citizenship and immigration status and maintain a copy of the completed United States Citizenship Attestation Form for each registered person.
Information about the citizenship verification process is available here.
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
2024 FINRA Annual Renewal Program Letter
2024 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.