48 Neb. Admin. Code, ch. 6, § 006

Current through September 17, 2024

Section 48-6-006 - TERMINATION

To terminate an agent's registration under the Act, a Uniform Termination Notice For Securities Industry Registration ("Form U5") must be submitted by the former employing broker-dealer within thirty days after the agent's termination.

006.01 FINRA broker-dealers must submit the agent's Form U5 to the Director through the CRD/IARD system.

006.02 Non-FINRA broker-dealers must submit the agent's Form U5 directly to the Director.

48 Neb. Admin. Code, ch. 6, § 006

Amended effective 6/5/2017.

Amended effective 11/25/2018