State-Specific Information

Nebraska

• You must file in at least two of the ten states to qualify for Midwest Regional Review.
• Once the initial application has been received, you may not add other states to that application.
• Once the initial application has been received, you may file for Midwest Regional Review in at least two additional states, but will be subject to a new coordinated review.

To Other State Information Pages

• ILLINOIS
• INDIANA
• IOWA
• KANSAS
• MICHIGAN
• MISSOURI
• NORTH DAKOTA
• SOUTH DAKOTA
• WISCONSIN

General Information

• INTRODUCTION
• APPLICATION
• EXHIBITS
• SCOR STATEMENT OF POLICY

Midwest Regional Review Program Home Page

Address:

1200 N St., Suite 311
Lincoln, NE 68508

Contact:  Karen A. Reynolds, Securities Analyst

Telephone Number: (402) 471-3445

E-mail: karenr@bkg.state.ne.us

Fax Number:

Website Address: http://www.ndbf.org

Checks Payable To:  NE Department of Banking & Finance

Rule 504 Filing Fees: 1/10 of 1% of the amount to be registered in NE. Minimum fee: $100

Reg A Filing Fees: 1/10 of 1% of the amount to be registered in NE. Minimum fee: $100

Agent Issuer Fees and Filing and Testing Requirements:  $100 issuer fee plus Form B-D.  $40 per agent + U-4. Issuer must register separately as an issuer-dealer, using Form B-D, if it offers its own securities. Every individual who offers the issuer's securities and is not paid, directly or indirectly, for soliciting any person in Nebraska must pay a fee, file an application, and take the Series 63 exam. However, every individual who offers the issuer's securities and is paid, directly or indirectly, for soliciting any person in Nebraska must pay a fee, file an application, and take the Series 7 and series 63 exams.

Post-Effective Filing That Requires Fee: None