48 Neb. Admin. Code, ch. 7, § 002 - APPLICATION

The application for initial registration as an investment adviser pursuant to Section 8-1103 of the Act shall be filed as directed in Section 005, below, and contain the following information:

002.01 Uniform Application for Investment Adviser Registration, ("Form ADV"), together with all applicable schedules and exhibits specified therein, complete, accurate and current;

002.02 A current and correct copy of the firm's articles of incorporation, partnership or organization, and any amendments thereto, if applicable;

002.03 A corporate resolution if applicable;

002.04 A completed "Affidavit of Investment Advisory Activity in Nebraska";

002.05 Financial statements as required by Section 009, below;

002.06 Specimen contracts or agreements relating to Nebraska clients;

002.07 Form ADV, Part 2 for the firm, the brochure supplement for each investment adviser representative, and any other promotional or disclosure literature to be furnished or disseminated to any client or prospective client in Nebraska;

002.08 A fee in the amount of two hundred dollars ($200.00); and

002.09 Any other information the Director may require.

Notes

48 Neb. Admin. Code, ch. 7, § 002

Amended effective 6/5/2017. Amended effective 11/27/2019 Amended effective 9/18/2024