Important Notification! - NDBF Securities Citizenship Verification Process Update

Effective December 2018, a new portal will be available for Investment Advisers and Broker-Dealers to submit information for the citizenship verification process.  Information about the new portal can be found here.

Securities Forms

UIT & Mutual Funds

Uniform Investment Company Notice Filing (Form NF)
Indefinite UIT Sales Report
Indefinite Mutual Fund Sales Report


Exemption Filings

Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption (Form D)
Uniform Notice of Regulation A – Tier 2 Offering
Rules Governing the Limited Offer and Sale of Securities without Registration under the Securities Act of 1933 (Regulation D)
Uniform Consent to Service of Process (Form U2)



Nebraska Crowdfunding Notice
Nebraska Portal Operator Registration


Other Filings/Registrations

Uniform Application to Register Securities (Form U1)

Effective July 1, 2016, the Nebraska Department of Banking and Finance (NDBF) will require issuers filing pursuant to registration by coordination under Section 8-1106 of the Securities Act of Nebraska to file a separate Form U-1/Uniform Application to Register Securities for each distinctive share class to be offered. NDBF will receipt each share class under a separate and distinct state file number, applying the requisite fee to each filing accordingly. NDBF will no longer allow an issuer to reallocate fees between share classes of the offering after the initial filing is received and receipted.

Registration Statement to Register Securities by Qualification