Section 48-6-004 - APPLICATIONAn agent's application for registration must be submitted to the Director by the employing broker-dealer.
004.01 Broker-dealers that are affiliated with the Financial Industry Regulatory Authority ("FINRA broker-dealers") must submit a Uniform Application for Securities Industry Registration or Transfer ("Form U4") and application fee of forty dollars ($ 40.00) to the Director through CRD/IARD. For purposes of Section 8-1103(4)(a) of the Act, a form submitted through CRD/IARD is deemed filed with the Director when the record is transmitted to the Director for review.004.02 Broker-dealers that are not affiliated with FINRA ("non-FINRA broker-dealers") must submit the agent's Form U4 and application fee of forty dollars ($ 40.00) directly to the Director.48 Neb. Admin. Code, ch. 6, § 004
Amended effective 6/5/2017.Amended effective 11/25/2018