Nebraska Securities Licensing (2026): Exams & Registration
Navigate Nebraska's securities license requirements for investment advisers, broker-dealers, and agents. Understand application steps, fees, and state-specific regulations.
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Quick Answer: Nebraska Securities Licensing Overview
The Nebraska Department of Banking and Finance (NDBF), Securities Division, primarily regulates securities professionals in Nebraska. If you advise clients on investments, execute securities transactions, or manage client assets for compensation in Nebraska, you likely need state-level registration.
The three main categories of registrants are:
- Investment Advisers (IAs): Firms that provide investment advice for compensation.
- Broker-Dealers (BDs): Firms that execute securities transactions for clients.
- Agents and Investment Adviser Representatives (IARs): Individuals acting on behalf of registered firms.
The general process involves passing required NASAA or FINRA examinations. You will also submit an application through FINRA's Central Registration Depository (CRD) system and receive state approval from the NDBF. This framework is established by the Nebraska Uniform Securities Act (N.R.S. Chapter 8, Article 11), aligning Nebraska with the Uniform Securities Act of 2002.
Sources & Verification (5)
- Investment Advisers Act of 1940 (15 U.S.C. §80b-1 et seq.) — federal IA registration framework; firms under $100M AUM generally state-registered (NSMIA §203A).
- Securities Exchange Act of 1934 (15 U.S.C. §78a et seq.) — broker-dealer regulation, anti-fraud, and SEC supervisory authority.
- National Securities Markets Improvement Act of 1996 (NSMIA, Pub. L. 104-290) — preempts state registration of federal covered advisers and securities; states retain anti-fraud.
- Uniform Securities Act (NASAA model) — adopted with variations by most states; governs IAR registration, blue sky filings, and exemptions.
- FINRA Series 65 / 63 / 66 / 7 — uniform state and federal exams administered via Prometric; pass scores and content outlines published by NASAA/FINRA.
Last verified: June 7, 2026
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How we verify: 9 source adapters (FAA, DSIRE, IRS, OpenStates, etc.) → AI draft → AI editor → AI polish → spot human review.
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- Series 65 Exam Prep — Investment Adviser LawThe most common path to becoming a Registered Investment Adviser Rep in any state. Covers Uniform Securities Act, fiduciary duty, and fraud prevention.
- Series 66 Exam Prep — Combined State LawCombines Series 63 + 65 into a single test for candidates already holding Series 7. Required in most states for IAR registration.
- Series 7 Exam Prep — General Securities RepFINRA's broker-dealer rep license. Required by every state before selling general securities. Recently revised for the post-2018 split format.
- Investment Adviser Compliance Manual — Form ADV & CustodyHow to navigate the SEC/state Form ADV split, custody rule, and code of ethics. The reference RIA firms hand new compliance hires.