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Broker Dealer & Broker Dealer Agent Formsunderline

The following forms are in pdf format. You must have Adobe Reader® to access these forms. It is recommended that you have the most recent version of Reader, which is available free from the Adobe website at: http://www.adobe.com/products/acrobat/readstep2.html


NASD Firms
NASD firms must submit uniform filings using the NASD's Central Registration Depository (CRD) - NASD Web Site

Additional state forms necessary are listed below.
Affidavit of Broker-Dealer Activity in Nebraska - Editable pdf

Non-NASD Firms
Uniform Application for Broker-Dealer Registration (Form BD) - pdf
Affidavit of Broker-Dealer Activity in Nebraska - Editable pdf
Corporate Resolution- pdf
Bureau of Securities Bond Form - Editable pdf
Uniform Request for Broker-Dealer Withdrawal (Form BDW) - pdf

NASD Agents
NASD agents must submit uniform filings using the NASD's Central Registration Depository (CRD) - NASD Web Site

Non-NASD Agents
Uniform Application for Securities Industry Registration of Transfer (Form U4) - Editable pdf
Uniform Application for Securities Industry Registration of Transfer Instructions (Form U4) - pdf
Uniform Termination Notice for Securities Industry Registration (Form U5) - Editable pdf
Uniform Termination Notice for Securities Industry Registration Instructions (Form U5) - pdf
Uniform Examination Request for Non-NASD Candidates (Form U10) - pdf

For more information on Broker-Dealer and Broker-Dealer agent registrations, please visit our Registration Information page.
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