Nebraska Uniform Application for Broker-Dealer Registration (Form BD) is a document used by broker-dealers to register with the Nebraska Department of Banking and Finance. This form is used to register the principal office and branch offices of the broker-dealer, to provide background information on the broker-dealer’s officers, directors, and control persons, and to disclose the broker-dealer’s most recent financial statements and any other documents required by the Nebraska Department of Banking and Finance. The form includes sections on the description of the broker-dealer’s business operations and services provided, the broker-dealer’s ownership and operations, and the broker-dealer’s financial condition. The Nebraska Uniform Application for Broker-Dealer Registration (Form BD) comes in two versions: the original version and the updated version. The original version is for broker-dealers who are already registered in other states and want to register in Nebraska. The updated version is for broker-dealers who are applying for the first time in Nebraska.
Nebraska Uniform Application for Broker-Dealer Registration (Form BD)
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How to fill out Nebraska Uniform Application For Broker-Dealer Registration (Form BD)?
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FAQ
Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and jurisdictions through the Central Registration Depository (?CRD?) system, operated by FINRA.
To apply for registration, you must file one executed copy of Form BD through the Central Registration Depository ("CRD"), which is operated by FINRA. (The only exception is for banks registering as municipal securities dealers, which file Form MSD directly with the SEC and with their appropriate banking regulator.)
Most "brokers" and "dealers" must register with the SEC and join a "self-regulatory organization," or SRO. This section covers the factors that determine whether a person is a broker or dealer. It also describes the types of brokers and dealers that do not have to register with the SEC.
The initial Hard Copy Form BD must bear an original signature on behalf of the Applicant (mechanical reproductions are not acceptable) and the signature date field must reflect a complete month, day and year.
The New Member Application Form (Form NMA) is used by FINRA's Membership Application Program (MAP) Group to assess whether an Applicant meets those standards. The form contains 12 sections modeled after the first 12 standards of FINRA Rule 1014.
Broker-Dealers must file Form BD through the Central Registration Depository (CRD) system, operated by the Financial Industry Regulatory Authority (FINRA).
The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business.