For investment adviser firms which are state registered with Nebraska, it’s crucial to be aware that there are certain additional documents which must be submitted directly (via a ShareFile link) to the Nebraska Securities Bureau in addition to and separate from the paying the regulatory fees associated with annual renewals and filing the Form ADV Annual Amendment via the IARD (“Investment Adviser Registration Depository”) system.
Category Archives: Nebraska
The Securities Bureau of Nebraska Department of Banking and Finance has issued its 2022 renewal notice for state-registered investment adviser firms and investment adviser representatives.
Nebraska Proposes Rule Changes that Allow Investment Advisers to Utilize Client Testimonials & IARs to Dual License
October 09, 2021
The Nebraska Department of Banking & Finance recently published proposed revisions to its rules for investment advisers under the Securities Act of Nebraska.
As your state registered investment adviser firm completes its Form ADV Annual Amendment, it’s important not to forget that many state securities regulators also require a state registered investment adviser firm to submit annual financial statements and/or other documents (e.g., proof of continued coverage of a surety bond, investment advisory client agreement if material changes) directly to the state securities regulator (outside of the IARD/CRD system).
As your state registered investment adviser firm completes its Form ADV Annual Amendment, it’s important not to forget that many state securities regulators also require a state registered investment adviser firm to submit annual financial statements and/or other documents directly to the state securities regulator (outside of the IARD/CRD system).
Lessons from a State Securities Regulator and Adult Protective Services About Reporting Elder Abuse
January 25, 2020
Last week, RIA Compliance Consultants hosted a webinar entitled “How to Report Elder Abuse to Adult Protective Services” in which a state securities regulator and an official from a state’s adult protective services agency discussed how an investment adviser firm can more effectively report elder abuse and better protect its senior and vulnerable clients.
The Securities Bureau of the Nebraska Department of Banking and Finance has released its 2020 list of requirements for a state-registered investment adviser (IA) and an investment advisor representative (IAR) to renew their registration in the State of Nebraska.
The Securities Bureau of the Nebraska Department of Banking and Finance has proposed a new rule which would require investment advisers to develop and maintain physical and cybersecurity policies and procedures designed to protect client records and information.
Cybersecurity Survey – Nebraska Registered Investment Advisers
January 22, 2019
On December 3, 2018 the Nebraska Department of Banking and Finance (NDBF) released their 2018 Cybersecurity Survey of Nebraska-Registered Investment Advisers. NDBF surveyed fifty-seven Nebraska registered investment advisers. The survey focused on devices used in advisory activities, Wi-Fi access points, passwords, encryption policies, and anti-virus/anti-malware services. The full report can be viewed here.
