State of Nebraska: Department of Banking and Finance

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Investment Adviser & Investment Adviser Representative Forms
The following forms are in pdf format. You must have Adobe Reader^® to access these forms. It is recommended that you have the most recent version of Reader, which is available free from the Adobe website at: http://www.adobe.com/products/acrobat/readstep2.html Investment Advisers Investment Adviser firms must submit uniform filings using the Investment Adviser Registration Depository (IARD) - IARD Web Site Additional forms necessary are listed below. Form ADV Part II, Schedules F-H and State-IA Execution Page- pdf Affidavit of Investment Adviser Activity in Nebraska - Editable pdf Corporate Resolution - Editable pdf Surety Bond - Editable pdf Form IAR - Editable pdf Investment Adviser Representatives IA Representatives must submit uniform filings using the Investment Adviser Registration Depository (IARD) - IARD Web Site For more information on Investment Adviser and Investment Adviser Representative registrations, please visit our Registration Information page.