Nebraska Broker-Dealer/ Investment Adviser Bond

Broker-Dealers and Investment Advisers in Nebraska must furnish a surety bond called a Bureau of Securities Bond when applying with the Nebraska Department of Banking & Finance for license to transact business in the State of Nebraska. The surety bond guarantees that the bonded Broker-Dealer or Investment Adviser complies with the applicable provisions, rules and regulations pertaining to the securities statutes of the State of Nebraska. The surety bond also protects those having a cause of action under Section 8-1118 and Section 8-1103 of the Securities Act of Nebraska up to the aggregate liability of twenty-five thousand dollars ($25,000).