Broker-Dealer and Broker-Dealer Agent Registrations must be renewed annually by December 31. The following information is provided to assist in renewing a broker-dealer registration in Nebraska. More information on necessary state forms is available from our Broker-Dealer forms page.
FINRA Firms & Agents
Applications and fees for FINRA firms and FINRA agents should be made directly through FINRA's Web Central Registration Depository (CRD)
For information on FINRA's renewal program, click here.
Non-FINRA Firms
Applications and fees for Non-FINRA firms and Non-FINRA agents should be filed directly to the Nebraska Department of Banking and Finance.
Non-FINRA firms must submit the following:
- An updated Form BD with appropriate amendments filed
- An Audited Financial Statement or Certified Financial Statement signed by an officer or by designated principal (must be dated September 30 or later)
- A $250 application fee made payable to the Nebraska Department of Banking and Finance
2024 Non FINRA Renewal Notice and Checklist
Non-FINRA Agents
Non-FINRA agents must submit the following:
- An updated Form U4 with appropriate amendments filed
- A $40 application fee made payable to the Nebraska Department of Banking and Finance
