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The Securities Act of Nebraska requires the registration of all securities offered for sale in Nebraska unless there is an applicable exemption or it is pre-empted. The Enforcement section of the Bureau handles complex investigations, primarily cases involving fraud.
Becoming a Financial Advisor in Nebraska Get Your Education. Pursue the right degree. ... Step 2: Register Your Firm in Nebraska. ... Step 3: Get Your Registered Investment Adviser License in Nebraska by Taking the Required Exam. ... Step 4: Ongoing Renewal and Update Requirements in Nebraska.
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