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The Nebraska Bureau of Securities Bond is required by the Nebraska Department of Banking and Finance in the amount of $25,000. The bond is required for Broker/Dealers as well as Investment Advisers. The bond states that the bondholder shall follow the rules and regulations of the Securities Act of Nebraska.

Registration Requirements for Broker-Dealers and Investment Advisers

Surety1 does not process registrations, but we have listed all of the requirements to make it easier for you.

Broker-Dealer Registration Requirements

For FINRA firms

• A COMPLETE and CURRENT FORM BD filed through CRD;
• An executed “AFFIDAVIT OF BROKER-DEALER ACTIVITY IN NEBRASKA”
• A current audited financial statement
• A $250.00 application fee filed through CRD.
• Designation of at least one registered agent located at the firm’s principal office and one registered agent located at each office of supervisory jurisdiction (“OSJ”) that is located in Nebraska to act in a supervisory capacity.

Non-FINRA firms

• A copy of the broker-dealer’s ARTICLES OF INCORPORATION, articles of partnership, or LLC membership agreement that shows the current legal name of the applicant;
• A copy of the broker-dealer’s CORPORATE RESOLUTION.
• A cover letter containing the name and CRD number of the individual who will serve as the designated principal in Nebraska.
• A surety bond in the amount of $25,000.00, or maintain net capital of $25,000.00

Investment Adviser Registration Requirements

• A $200.00 application fee paid through (“CRD/IARD”).
• FORM ADV and all applicable schedules
• An executed “AFFIDAVIT OF INVESTMENT ADVISER ACTIVITY IN NEBRASKA”
• A current audited financial statement
• A copy of the investment adviser’s ARTICLES OF INCORPORATION, articles of partnership,

or LLC membership agreement that shows the current legal name of the applicant;

• A CORPORATE RESOLUTION which allows the firm to participate in the investment adviser business in Nebraska.
• Net Capital Computation (Nebraska based firms only)
• A surety bond issued in the amount of $25,000 except for an investment adviser which continually maintains net capital
• Specimen Contract and/or Agreements
• Promotional and/or Disclosure Literature

What is the process to obtain a Nebraska Bureau of Securities Bond?

Complete our easy to navigate online application. Within one business day,  one of our licensed agents will contact you with a no-obligation quote for your bond (the “premium”). Once any necessary paperwork is signed and the premium payment is processed, your surety bond will be shipped to you via USPS Priority Mail (overnight shipping options also available).

The surety bond experts at Surety1 are here to help you get bonded quickly and reliably. We work with over a dozen “A” rated surety markets to ensure we find you the lowest rate for your bond. We are also licensed in all 50 states and maintain an A+ rating by the Better Business Bureau.