State of Nebraska: Department of Banking and Finance

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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. We also investigate any complaints filed against a broker dealer involving a Nebraska resident. A broker-dealer or broker-dealer agent is a firm or individual registered to sell individual securities. All broker-dealers and broker-dealer agents register with the states in which they sell securities. Federal broker-dealers can also register with individual states through The Financial Industry Regulatory Authority (FINRA). Broker-dealers that do not register federally must file directly with the individual state(s) in which they are selling securities. The Bureau of Securities does not register qualified retirement programs. Broker-Dealers & Brokers-Dealer Agents page