Section 48-4-002 - APPLICATIONThe application for initial registration as a broker-dealer pursuant to Section 8-1103(1) of the Act shall be filed as directed in Section 007, below, and contain the following:
002.01 A copy of Uniform Application for Broker-Dealer Registration ("Form BD"), together with all applicable schedules and exhibits specified therein, complete, accurate and current;002.02 A completed "Affidavit of Broker-Dealer Activity in Nebraska";002.03 The financial statements prepared in accordance with Section 003, below;002.04 A fee in the amount of two hundred fifty dollars ($250.00); and002.05 Any other information the Director may require.002.06 A broker-dealer which is not a member of the Financial Industry Regulatory Authority ("FINRA") shall submit the following additional information for an initial application for registration as a broker-dealer pursuant to the Act:002.06A A signed Form BD;002.06B A current and correct copy of the firm's articles of incorporation, partnership, or organization, and any amendments thereto, if applicable; and002.06C A corporate resolution, Form U-2A, if applicable.48 Neb. Admin. Code, ch. 4, § 002
Amended effective 6/5/2017.Amended effective 11/27/2019Amended effective 6/13/2022