Section 48-4-003 - FINANCIAL STATEMENTSThe financial statements shall be:
003.01 A copy of the firm's most recent audited financial statements, and, if the date of the financial statements is not within ninety days of the date the application is filed, the firm's most recent quarterly Focus Report Part II(A), if such report has been filed with FINRA; or003.02 In the event that the firm does not have audited financial statements, the Director may accept unaudited financial statements that are accompanied by an affirmative representation by the firm, signed by an officer, director or person occupying a similar position, that the statements provide all material information relating to the financial condition of the firm and are true and accurate to the best of the signer's knowledge and belief.48 Neb. Admin. Code, ch. 4, § 003
Amended effective 6/5/2017.Amended effective 11/27/2019Amended effective 6/13/2022