Business Opportunities & Franchises

Filing Requirements

For more information on what should be filed or if a business qualifies for an exemption filing, please contact the Bureau of Securities. Companies should submit one filing for each disclosure document available to the public. If several programs are offered on one disclosure document, only one filing is necessary (make reference to other programs as DBAs).

"State-Specific" Nebraska Disclosure Document

Initial Filing

The following information should be submitted:

  • A state specific disclosure document (specific content requirements are listed in the Nebraska SAMP Act);
  • A list of names and resident addresses of individuals selling the business opportunity or franchise (list must be resubmitted every six months); and
  • Initial filing fee of $100.

Amendments and Renewals

Filers using a Nebraska disclosure document are required by state law to notify the Bureau of Securities when information within the disclosure documents change ($50 amendment fee), and to renew their filing annually ($50 renewal fee).

"National" Type Disclosure Document

This is a one-time filing referred to as an "Exemption Notice Filing". The following information should be submitted:

We do not require a copy of the disclosure document be submitted for Exemption Notice Filings. If you would like a notice of your effective date, include a self-addressed stamped envelope, and a copy of your completed Seller Assisted Plan Exemption Notice (along with the original) or a copy of a letter requesting notification.

Notice Regarding Foreign Checks and Money Orders

Payment by corporate check or money order must be made using U.S. check or U.S. money order. Filers may also make payment using ACH or through NASAA EFD, as available. Any payments received via foreign check or foreign money order will be returned to the filer.

State Forms & Resources

Seller Assisted Marketing Plan Exemption Notice
Seller-Assisted Marketing Plan Act | Nebraska Banking and Finance
Interpretative Opinion – Seller Assisted Marketing Plans On The Internet

Federal Resources

Federal Trade Commission (FTC)

Complaints & Investigations

Our agency also investigates complaints regarding the purchase of a franchise or business opportunity by a Nebraska resident. For more information regarding this process, please visit our Complaint section.