State of Nebraska: Department of Banking and Finance

Nebraska Department of Banking and Finance; Images from Nebraska banknotes issued in the 1800s.

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Business Opportunities & Franchises
Regulation Business opportunities and franchises costing over $500 typically must file with the state prior to selling, offering or advertising to Nebraska residents. The Nebraska Bureau of Securities regulates these filings for the State of Nebraska and ensures that such businesses operate within the requirements set forth in state law. Business opportunities and franchises selling in Nebraska are required to give a potential purchaser a disclosure document. There are different types of disclosure documents that are acceptable. A state-specific disclosure document is described in the Seller Assisted Marketing Plan Act (SAMP Act). National disclosure documents can be used in lieu of the state-specific document. Specifically, the two national disclosure documents that can be used in Nebraska are: the Uniform Franchise Offer Circular or a disclosure document written in accordance with the Federal Trade Commission requirements. The disclosure documents are also necessary when filing with the Bureau of Securities. Filing Requirements For more information on what should be filed or if a business qualifies for an exemption filing, please contact Gene Schenkelberg at the Bureau of Securities. Companies should submit one filing for each disclosure document available to the public. If several programs are offered on one disclosure document, only one filing is necessary (make reference to other programs as DBAs). Using a "state-specific" Nebraska disclosure document The following information should be submitted: A state specific disclosure document (specific content requirements are listed in the Nebraska SAMP Act); A list of names and resident addresses of individuals selling the business opportunity or franchise (list must be resubmitted every six months); and Initial filing fee of $100 ($50 renewal). Filers using a Nebraska disclosure document are required by state law to notify the Bureau of Securities when information within the disclosure documents change ($50 amendment fee), and to renew their filing annually ($50 renewal fee). Using a "national" type disclosure document This type of filing is also referred to as an "Exemption Notice Filing". The following information should be submitted: A Uniform Franchise Offer Circular or a disclosure document written according to the requirements of the Federal Trade Commission; A completed Seller Assisted Plan Exemption Notice; and A one-time $100 filing fee. If you would like a notice of your effective date, include a self-addressed stamped envelope, and a copy of your completed Seller Assisted Plan Exemption Notice (along with the original) or a copy of a letter requesting notification. State Forms & Resources Seller Assisted Marketing Plan Exemption Notice - Editable pdf Seller Assisted Marketing Plan Act (SAMP Act) Federal Resources Federal Trade Commission (FTC) FTC Business Information FTC Disclosure Document Requirements Complaints & Investigations Our agency also investigates complaints regarding the purchase of a franchise or business opportunity by a Nebraska resident. For more information regarding this process, please visit our Complaint section.

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