State of Nebraska: Department of Banking and Finance

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Broker-Dealer & Broker-Dealer Agent Registration Renewal Information
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. Summary of Nebraska Broker-Dealer Registration Requirements - PDF 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. Read and fill out our editable Important Renewal Notice. 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 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 Any new agents must go through the registration process. For more information visit the Broker- Dealer & Broker-Dealer Agent Registration page.