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Broker Dealers & Broker Dealer Agents

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Broker Dealer Forms

General Information
Broker Dealer vs. Investment Adviser
Broker Dealer Regulation
NASD Broker Check
Complaint Process

Regulation & Licensing
Summary of Nebraska Broker-Dealer Registration Requirements (PDF)
Broker Dealer Firm and Agent Registration Information
Broker Dealer Firm and Agent Renewal Information

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Agency Rules/Administrative Code
Agency Actions/Administrative Orders
Broker Dealer Statutes
Unicameral State Statutes Search

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Press Releases
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