Administrative Rules and Regulations

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The following links for the Department’s Administrative Rules and Regulations will take you to a pdf of the designated chapter or appendix. If you notice a problem with the rules as listed on that site, contact us. 

To print a complete index summarizing the subject matter of the Department’s currently applicable Administrative Rules and Regulations and Guidance Documents,  Click here for a PDF version.

Disclaimer:
Every effort is being made by the Secretary of State's office to make sure the online version of the Nebraska Administrative Code on the Secretary of State website is complete and accurate. However, due to the volume, they have not been proofread for accuracy against the official paper text of the code on file with the Secretary of State.

We recommend that the Internet version of the code be used for research and informational purposes only. For legal purposes certified copies of the Nebraska Administrative Code are available through the Nebraska Secretary of State's Office (402-471-2385 or 402-471-2555).

 

  1. General Provisions for Title 45
    Establishes general provisions relating to the administration of Title 45 of the Nebraska Administrative Code.   
  2. Record Keeping Requirements For Business Entity Customers 
    Establishes record keeping requirements for Business Entity Customers of state banks.
  3. Data Center Record Keeping Standards 
    Sets forth necessary requirements for data center record keeping standards.
  4. Schedule For Records Retention By Banks
    Contains the records retention schedule and requirements for state banks.
  5. Schedule For Retention Of Records Banks Exercising Trust Powers And Trust Companies 
    Contains the records retention schedule and requirements for banks exercising trust powers and stand-alone trust companies.
    1. Chapter 5 Appendix.
  6. Articles Of Incorporation And Bylaws 
    Contains articles of incorporation, bylaws, and amendments for filing requirements for state banks..  
  7. Electronic Data Processing Rider Or Endorsement
    Sets forth necessary requirements for electronic data processing riders or endorsements for state banks that use data processing entities to create or maintain their accounting records.
  8. Changes In Paid-In Capital Stock 
    Establishes procedures for changes to paid-in capital stock of state banks.
  9. Active Executive Officers 
    Contains provisions for the administration and regulation of active executive officers of a bank.
  10. Insider Loan Guarantees 
    Establishes requirements for loan guarantess for bank insiders.
  11. Executive Officer Borrowing Reports
    Establishes policies for when executive officers of a state bank borrow funds.
  12. Directors' Examinations Performed By Certified Public Accountants Or Public Accountants
    Establishes procedures for when a state bank opts for one annual audit by an accountant or accounting firm, in lieu of an annual examination by the board of directors.
    1. Chapter 12 Appendix
  13. Standards For Acceptability And Scope Of Examinations For Directors' Examinations
    Sets forth acceptability for, and the scope of, state bank annual directors' examinations.
    1. Chapter 13 Appendix
  14. Livestock Loans
    Contains requirements for the proper administration of livestock loans.
  15. Loans Secured By Warehouse Receipts
    Establishes minimum standards for certain loans secured by warehouse receipts.
  16. Loans Secured By Deposit Accounts
    Establishes the application requirement by deposit accounts.
  17. Pool Participation Approval 
    Establishes the application requirement for pool participation approval by the Department.
  18. Requirements For Purchases Of Shares Of Investment Companies
    Contains rules for governing when a state banks purchases investment company shares.
  19. Leasing of Personal Property
    Establishes authority for when state banks may lease personal property
    1. Chapter 19 Appendix
  20. Repealed.
  21. Trust Department Applications
    Establishes the application process for state banks to be approved to conduct trust business.
  1.  Instructions for Conversion of a Savings and Loan or Building and Loan to a Capital Stock Savings Association 
    Directs industry to instructions on applications to convert from a mutual savings and loan to a stock form organization.  
    1. Chapter 1 Appendix .
  2. Minimum Capital Requirements Needed To Form A Newly Organized Capital Stock Savings Association 
    Establishes a schedule for minimum capital requirements for newly-organized stock-owned savings and loan associations.
  3. Credit Union Supervisory Committee's Annual Audit 
    Sets forth the minimum standards for annual audits of the books and records of credit unions.
  1. Applications 
    Adopts requirements for applicants of digital asset depository charters.
  2. Surety Bonds and Pledge of Assets; Insurance 
    Sets surety bond and insurance requirements of digital asset depositories.
  3. Capital Requirements; Paid-Up Operating Expenses 
    Harmonizes capital requirements for digital asset depositories.
  4. Digital Asset Depository Department; Charter Amendment; Director; Powers and Duties
     Allows state banks to apply to amend existing charter to operate a digital asset depository department.
  5. Reports; Call Reports 
    Provides standards and penalties for required reporting to the Department.
  6. Complaints
     Sets requirements for digital asset depositories to have a system for addressing customer complaints.
  7. Notice and Statement Regarding Deposit Insurance and Risk 
    Provides that digital asset depositories must provide notice that digital asset products are not FDIC-insured.
  8. Response Program for a Cybersecurity Event or Data Breach 
    Establishes that digital asset depositories must have a written response program for handling cybersecurity events.
  1. General Provisions 
    Rule outlining general provisions applicable in all chapters of Title 48.
  2. Definitions 
    Rule defining terms used in all chapters of Title 48.
  3. Definition of an Offer   
    1. Chapter 3 Appendix
      Rule defining the term “offer” as used in Title 48.
  4. Broker-Dealers  
    1. Chapter 4 Appendix
      Rule containing provisions governing broker-dealers registered in Nebraska.
  5. Issuer-Dealers
    Rule containing provisions governing issuer-dealers registered in Nebraska.
  6.   Agents of Broker-Dealers
    1. Chapter 6 Appendix
      Rule containing provisions governing agents of issuer-dealers registered in Nebraska.
  7. Investment Advisers
    1. Chapter 7 Appendix
      Rule containing provisions governing investment advisers registered in Nebraska.
  8. Federal Covered Advisers
    Rule containing provisions governing federal covered advisers who have notice-filed in Nebraska.
  9. Investment Adviser Representatives
    1. Chapter 9 Appendix
      Rule containing provisions governing investment advisers registered in Nebraska.
  10. Recordkeeping by Investment Advisers
    1. Chapter 10 Appendix
      Rule prescribing record keeping requirements for investment advisers.
  11. Performance Based Compensation
    Rule prescribing requirements for investment advisers who receive performance based compensation.
  12. Fraudulent, Dishonest and Unethical Business Practices
    1. Chapter 12 Appendix
      Rule defining conduct that constitutes fraudulent, dishonest, or unethical business practices for broker-dealers, agents of broker dealers, investment advisers, federal covered advisers, and investment adviser representatives.
  13.  Approved Exchanges for the Section 8-1110(5) Exchange Exemption
    1. Chapter 13 Appendix
      Rule designating approved exchanges for the exchange exemption.
  14. Record-Keeping Requirements for the Section 8-1111(3) Exemption
    Rule prescribing requirement keeping requirements for issuers relying upon the Section 8-1111(3) exemption.
  15. Information Requirements for the Section 8-1111(9) De Minimus Exemption
    Rule prescribing filing requirements for issuers relying upon the de minimis exemption.
  16. Information Requirements for the Section 8-1111(15) Agricultural Cooperative Exemption
    Rule prescribing filing requirements for issuers relying upon the cooperative exemption.
  17. Repealed (November 27, 2019)
  18. Information Requirements for the Section 8-1111(20) Nebraska Intrastate Issuer Exemption
    1. Chapter 18 Appendix
      Rule prescribing filing requirements for issuers relying upon the Nebraska intrastate issuer exemption.
  19. Requests to Cure Late Notice Filings
    Rule prescribing filing requirements for issuers seeking an Order curing a late-filed notice filing
  20. Federal Covered Securities
    1. Chapter 20 Appendix
      Rule prescribing filing requirements for issuers offering federal covered securities in Nebraska.
  21. North American Securities Administrators Association Statements of Policy
    1. Asset Backed Securities
    2. Cattle Feeding Programs
    3. Church Extension Fund Securities
    4. Commodity Pool Programs
    5. Corporate Securities Definitions
    6. Debt Securities
    7. Electronic Offering Documents and Electronic Signatures
    8. Equipment Programs
    9. Impoundment of Proceeds
    10. Loans and Other Material Transactions
    11. Mortgage Program Guidelines
    12. Oil and Gas Programs
    13. Omnibus Guidelines
    14. Options and Warrants
    15. Preferred Stock
    16. Promoters Equity Investment
    17. Promotional Shares
    18. Real Estate Investment Trusts
    19. Real Estate Programs
    20. Specificity in Use of Proceeds
    21. Underwriting Expenses
    22. Unequal Voting Rights
    23. Unsound Financial Condition
      Rule adopting various North American Securities Administrators Association Statements of Policy pertaining to the registration of securities
  22. Repealed (November 27, 2019)
  23. Repealed (November 27, 2019)
  24. Repealed (November 27, 2019)
  25. Repealed (November 27, 2019)
  26. Repealed (November 27, 2019)
  27. Repealed (November 27, 2019)
  28. Repealed (November 27, 2019)
  29. Repealed (November 27, 2019)
  30. Repealed (November 27, 2019)
  31. Repealed (November 27, 2019)
  32. Repealed (November 27, 2019)
  33. Repealed (November 27, 2019)
  34. Repealed (November 27, 2019)
  35. Repealed (November 25, 2018)
  36. Repealed (November 27, 2019)
  37. Sales of Securities at Financial Institutions
    Rule prescribing requirements related to the sale of securities at financial institutions.
  38.  Information Requirements for the Section 8-1111(23) Notice  
    1. Chapter 38 Appendix
      Rule prescribing filing requirements for issuers relying upon the Nebraska small intrastate issuer exemption.
  39.  Conditions and Information Requirements for the Section 8-1111(24) Crowdfunding Exemption  
    1. Chapter 39 Appendix
      Rule prescribing requirements for issuers conducting an intrastate crowdfunding offering.
  40. Portal Operators
    Rule prescribing requirements for portal operators facilitating intrastate crowdfunding offerings.
  41. Integration of Exempt Offerings Pursuant to Section 8-1111
    Rule prescribing factors that the Department will consider when determining whether offerings should be integrated.
  42. Exclusion of Investment Advisers to Private Funds From the Definition of 'Investment Adviser'
    Rule establishing an exclusion from the definition of “investment adviser” for advisers to private funds who meet certain requirements.
  1. General Provisions Relating to Practice and Procedures before the Department of Banking and Finance
    Rule prescribing definitions used throughout Title 49, and prescribing standards for computation of time under the rules and statutes applicable to a proceeding.
  2. Rules of Practice and Procedure for Hearings in Application Cases
    Rule prescribing procedures related to hearings on applications filed with the Department.
  3. Proof Requirements for Granting of Applications
    Rule prescribing proof requirements that must be met to approve applications before the Department.
  4. Rule of Practice and Procedure for Hearings in Contested Cases
    Rule prescribing procedures for contested cases before the Department.
  5. Rule of Procedure for Declaratory Actions
    Rule prescribing procedures for declaratory actions before the Department.
  6. Rule of Procedure for Negotiated Rulemaking
    Rule prescribing procedures for negotiated rulemaking.
  7. Rule of Procedure for Petitioning for Rule Making 
    Rule prescribing procedures for petitioning the Department for rulemaking.

 

  1. Disclosure Requirements for Consumer Rental Purchase Agreements 
    Rule prescribing requirements for disclosures in consumer rental purchase agreements and providing a model form.  
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