Nebraska Department of Banking and Finance

Broker-Dealer & Broker-Dealer Agent Regulation

The Bureau of Securities is responsible for regulating broker-dealers and broker-dealer agents in the State of Nebraska. The Bureau also investigates complaints filed against a broker dealers and broker-dealer agents involving Nebraska residents.

A broker-dealer or broker-dealer agent is a firm or individual registered to offer and sell individual securities. All broker-dealers and broker-dealer agents register with the individual states in which they offer and sell securities.

The Bureau of Securities does not register qualified retirement programs.