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.

Investment Advisers & Investment Adviser Representative Forms

Investment Advisers

Investment Adviser firms must submit uniform filings using the Investment Adviser Registration Depository (IARD) IARD Web Site

Additional forms necessary are listed below.
Form ADV
Affidavit of Investment Adviser Activity in Nebraska
Corporate Resolution
Surety Bond
Net Capital Computation

 

Investment Adviser Representatives

IA Representatives must submit uniform filings using the Investment Adviser Registration Depository (IARD) IARD Web Site

For more information on Investment Adviser and Investment Adviser Representative registrations, please visit our Registration Information page.