NDBF REMINDS INVESTMENT ADVISERS, BROKER-DEALERS OF DECEMBER 31, 2019 RENEWAL DEADLINE
November 1, 2019 (LINCOLN, NEB.) — The Nebraska Department of Banking and Finance ("NDBF") reminds state-registered investment advisers, broker-dealers, and their agents and representatives that registrations in Nebraska expire on December 31, 2019. Firms will need to assemble required documentation and review filings to make sure information is accurate and up-to-date. Failure to submit filings or provide required information by the appropriate deadline will result in the termination of the registration on January 1, 2020.
State-registered investment adviser and investment adviser representative deadlines:
• By December 20, 2019 – Submit Nebraska specific forms and documentation to NDBF
• Before December 26, 2019 – Submit renewal payments through CRD/IARD
• Before December 26, 2019 – Submit required electronic form filings through CRD/IARD
FINRA broker-dealer and agent deadlines:
• Before December 26, 2019 – Submit renewal payments through CRD/IARD
• Before December 26, 2019 – Submit required electronic form filings through CRD/IARD
Non-FINRA Broker-Dealers and agents must submit all required forms and documentation to NDBF by December 20, 2019
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