48 Neb. Admin. Code, ch. 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.

Notes

48 Neb. Admin. Code, ch. 6, § 006
Amended effective 6/5/2017. Amended effective 11/25/2018 Amended effective 9/18/2024

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