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Broker-Dealer & Broker-Dealer Agent Registration Information
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The following information is provided to assist in preparing an application for broker-dealer registration in Nebraska. More information on necessary state forms is available from our Broker-Dealer forms page.
Summary of Nebraska Broker-Dealer Registration Requirements - PDF
FINRA Firms
Applications and fees for FINRA firms and FINRA agents should be made directly through FINRA's Central Registration Depository (CRD).
FINRA firms must submit the following:
- A complete and current Form BD
- An executed "Affidavit of Broker-Dealer Activity in Nebraska"
- A current Audited Financial Statement
- The most recent Focus Report if the Financial Statement is more than 90 days old
- A $250 application fee
FINRA Agents
FINRA agents must submit the following:
- A complete and current Form U4
- A $40 application fee
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. More information is available from our Broker-Dealer forms page.
Non-FINRA firms must submit the following:
- A complete and current Form BD
- An executed "Affidavit of Broker-Dealer Activity in Nebraska"
- A current Audited Financial Statement
- The most recent Focus Report if the Financial Statement is more than 90 days old
- A $250 application fee made payable to the "Nebraska Department of Banking and Finance"
- A copy of the Articles of Incorporation, articles of partnership, or LLC membership agreement that shows the current legal name of the applicant
- A Corporate Resolution (only for those entities organized as a corporation)
- A letter containing the name and CRD number of the individual who will serve as the designated principal in Nebraska (the principal must have taken and passed the Series 63 or 66 and the Series 24, 26 or 39 examinations and should be registered as an agent in Nebraska)
- a Surety Bond in the amount of $25,000 or applicant must maintain a net capital of $25,000
Non-FINRA Agents
Non-FINRA agents must submit the following:
- A complete and current Form U4
- Proof of passage for either the Series 6, 7 or 22 examination
- Proof of passage for either the Series 63 or 66 examination
- A $40 application fee made payable to the Nebraska Department of Banking and Finance
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