Section 48-9-002 - APPLICATIONThe application for initial registration as an investment adviser representative pursuant to Section 8-1103(3) of the Act shall be filed as directed in Section 008, below, and contain the following information:
002.01 Uniform Application for Securities Industry Registration or Transfer ("Form U4"), complete, accurate, and current;002.02 Proof of passage of a qualifying examination set forth in Section 00 3, below;002.03 A copy of Form ADV Part 2B; 002.03A An investment adviser representative affiliated with a federal covered adviser is responsible for ensuring that Form ADV Part 2B is filed with the Director.002.04 A fee in the amount of forty dollars ($40.00); and002.05 Any other information the Director may require.48 Neb. Admin. Code, ch. 9, § 002
Amended effective 6/5/2017.Amended effective 6/13/2022