State of Nebraska: Department of Banking and Finance

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Securities 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 UIT & Mutual Funds Uniform Investment Company Notice Filing (Form NF) - pdf Indefinite UIT Sales Report - Editable pdf Indefinite Mutual Fund Sales Report - Editable pdf Exemption Filings Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption (Form D) - pdf Rules Governing the Limited Offer and Sale of Securities without Registration under the Securities Act of 1933 (Regulation D) - pdf Uniform Consent to Service of Process (Form U2) - pdf Other Filings/Registrations Uniform Application to Register Securities (Form U1) - pdf Registration Statement to Register Securities by Qualification - Editable pdf