AFFIDAVIT OF BROKER DEALER ACTIVITY IN NEBRASKA
__________________________________________
(Name of Applicant)
Applicant does hereby certify:
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1.
That the above-named Applicant, by or through any of its agents, has not sold or entered into
any agreements to sell any securities to any Nebraska residents, and that the Applicant and
any of its agents will not engage in the securities business in Nebraska until registered.
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2.
That the above-named Applicant by or through any of its agents has sold or entered into
agreements to sell securities in Nebraska, and all pertinent information relating to said sales
or agreements is attached to this affidavit, including names and addresses of customers,
transaction dates, description of said transactions, and the amount of commissions generated
from each customer.
I, on behalf of _______________________________________________, acknowledge the foregoing to
(Name of Applicant)
be truthful with full knowledge that misrepresentation of such facts to the Department of Banking and
Finance of the State of Nebraska may result in administrative action by the Department.
__________________________________________
(Signature of Officer, Partner or Sole Proprietor)
__________________________________________
(Printed Name)
__________________________________________
(Title)
Subscribed and sworn to before me this _____ day of _______________________, _________.
__________________________________________
(Notary Public)
My commission expires ___________________________________, __________.
Revised 10/2011