Section 48-4-007 - FORMS SUBMISSIONS007.01 A broker-dealer which is a member of FINRA shall file the forms necessary for registration, renewal or withdrawal of its registration or the registration or termination of its agents in Nebraska with, and pay all applicable fees for such registrations through, the Central Registration Depository/Investment Advisor Registration Depository System ("CRD/IARD") For purposes of Section 8-1103(4) of the Act, a form submitted through CRD/IARD is deemed filed with the Department when the record is transmitted to the Department for review.
007.02 A broker-dealer which is not a member of FINRA shall file the forms necessary for registration, renewal, or withdrawal of its registration or the registration or termination of its agents in Nebraska directly with the Department.007.03 With respect to any document filed electronically through CRD/IARD, when a signature or signatures are required by the particular instructions of any filing to be made through CRD/IARD, a duly authorized officer of the applicant or the applicant him or herself, as required, shall affix his or her electronic signature to the filing by typing his or her name in the appropriate fields and submitting the filing to CRD/IARD. Submission of a filing in this manner constitutes irrefutable evidence of legal signature by any individual whose name is typed on the filing.48 Neb. Admin. Code, ch. 4, § 007
Amended effective 11/27/2019Amended effective 6/13/2022