NDBF COVID-19 Consumer and Industry Guidance

Please find the Department's Consumer and Industry guidance here or access them under the "About" section.

Securities Notice Filings & Registrations

In order to be offered or sold in Nebraska, securities must either:

  1. Be registered by coordination or qualification;
  2. Qualify for an exemption; or
  3. Be federal covered securities.

This page contains specific information and resources for securities registrations, exemptions, and notice filings. Legal information including statutes, rules and regulations, and agency guidance documents can be found at the Legal section of our website.

Electronic Securities Filings

In addition to submitting securities filings and fees in hard copy, NDBF will accept electronic submission of documents and fees.

Blue Express

NDBF can receive Blue Sky mutual fund filings and payment via Blue Express.  Filers wishing to use Blue Express must enter into an Electronic Filing Agreement with NDBF prior to filing.  Please contact NDBF at DOB.SecuritiesFiling@nebraska.gov for more information.

EFD

NDBF can receive securities filings and payment via the North American Securities Administrators Association (NASAA) Electronic Filing Depository (EFD).  Information about how to file using EFD is available at efdnasaa.org.

NDBF currently accepts the following filings via EFD:

  • Reg. D Rule 506
  • Unit Investment Trust
  • Registration by Coordination
  • Registration by Qualification
  • Reg. A Tier 1
  • Reg. A Tier 2
  • Franchise

Email

NDBF will accept all securities filings electronically via email.  Filers should submit documents to DOB.SecuritiesFiling@nebraska.gov.  After receiving the filing via email, NDBF will contact the filer with payment instructions. Payment may be made by check or ACH. 

Filings received via email will not be effective until NDBF has received payment.