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Nebraska

Nebraska's Uniform Securities Act (2001)

  • Read more about Nebraska's Uniform Securities Act (2001)

Description: Aligns Nebraska’s securities laws with the Uniform Securities Act, establishing standardized rules for the registration and sale of securities and offering protections for investors.

Scope: Aims to ensure that securities transactions are conducted fairly, providing investors with information necessary to make informed decisions, and providing enforcement mechanisms against fraudulent practices.

Nebraska Crowdfunding Exemption (2015)

  • Read more about Nebraska Crowdfunding Exemption (2015)

Description: Provides a crowdfunding exemption to small businesses in Nebraska, allowing them to raise capital from residents of the state without having to register the securities with the SEC.

Scope: The exemption helps Nebraska-based startups and small businesses raise capital while complying with limits on the amount of money that can be raised and specific disclosure requirements.

Nebraska Investment Adviser Act (1997)

  • Read more about Nebraska Investment Adviser Act (1997)

Description: Regulates investment advisers who provide advice to clients in exchange for compensation, ensuring they meet ethical and professional standards to protect clients' interests.

Scope: Requires investment advisers in Nebraska to be registered, mandates certain disclosures, and regulates their conduct to prevent fraud and conflicts of interest.

Nebraska Securities Act (2001)

  • Read more about Nebraska Securities Act (2001)

Description: Governs the registration and regulation of securities offerings, including stocks, bonds, and investment contracts, ensuring compliance with state laws and protecting investors from fraud.

Scope: This law mandates that securities offered or sold in Nebraska must be registered unless exempt. It also regulates the activities of brokers, dealers, and investment advisers to maintain the integrity of the securities market.

Nebraska Department of Banking and Finance

  • Read more about Nebraska Department of Banking and Finance

Overview:

Oversees securities regulations in Nebraska to safeguard investors

Address:

1526 K Street #300, Lincoln, NE 68508

Specific Regulations:

Nebraska Securities Act

Resources:

Investor protection tips and resources

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