NE

Nebraska Blue Sky Laws

Nebraska regulates securities under the Securities Act of Nebraska, enforced by the Bureau of Securities within the Department of Banking and Finance. Nebraska requires registration or exemption for securities offered or sold in the state.

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Donald Hateley, Of Counsel for securities law at Acquisition Stars

Donald Hateley

Of Counsel, Securities Law | Acquisition Stars

Donald Hateley serves as Of Counsel to Acquisition Stars for securities law matters. His background includes advising public and private companies on securities transactions, corporate finance, and corporate governance, including public and private equity and debt financings. Admitted to the California bar in 1993, he is a graduate of the University of Southern California Marshall School of Business and Southwestern Law School.

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Nebraska Securities Regulatory Overview

Regulatory Body
Nebraska Department of Banking and Finance, Bureau of Securities
Primary Statute
Securities Act of Nebraska (Neb. Rev. Stat. 8-1101 et seq.)

Registration Requirements

Nebraska allows registration by coordination, qualification, or notice filing. Reg D Rule 506 offerings require Form D notice filing with the Bureau of Securities. Filing fee is $200.

Key Provisions of Nebraska Securities Law

Understanding the core regulatory framework in Nebraska:

1

Securities must be registered before offer or sale unless exempt under the Securities Act of Nebraska

2

The Bureau of Securities has authority to investigate and bring enforcement actions

3

Anti-fraud provisions apply to all securities transactions in Nebraska

4

Broker-dealers and investment advisers must register

Available Exemptions in Nebraska

Nebraska provides the following exemptions from full securities registration:

  • Federal covered securities (Reg D Rule 506, Reg A+ Tier 2, exchange-listed) with notice filing
  • Isolated nonissuer transactions
  • Sales to institutional investors
  • Limited offering exemptions for small offerings
  • Government securities

Penalties for Non-Compliance in Nebraska

Nebraska imposes civil penalties, criminal penalties including fines and imprisonment, investor rescission rights, and administrative sanctions.

How Nebraska Blue Sky Laws Affect Your Transaction

Transactions involving Nebraska-based shareholders require compliance when stock is used as deal consideration. Acquisition Stars works with securities counsel on Nebraska notice filings for multi-state transactions.

Need Help With a Nebraska Securities Transaction?

Acquisition Stars handles M&A transactions nationwide and works with securities counsel on blue sky compliance and securities offerings. Senior attorney Alex Lubyansky provides direct counsel on every M&A engagement. We tell you who would handle your matter before any introduction, and you decide whether to proceed.

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Need Help With a Nebraska Securities Transaction?

Submit your transaction details for a preliminary assessment. We help with the M&A side of the transaction and work with securities counsel on multi-state filings for Reg D, Reg A+, and Reg CF offerings involving Nebraska.

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Frequently Asked Questions

Common questions about Nebraska blue sky laws and securities compliance

What is Nebraska's Reg D filing fee?
Nebraska charges $200 for Reg D Rule 506 notice filings with the Bureau of Securities.
Who regulates securities in Nebraska?
The Bureau of Securities within the Department of Banking and Finance enforces Nebraska's securities laws.
Does Nebraska conduct merit review?
Nebraska may apply review standards to certain registrations. Reg D Rule 506 offerings require only notice filing.

Blue Sky Laws in Nearby States

Iowa Blue Sky Laws IA
Kansas Blue Sky Laws KS
Colorado Blue Sky Laws CO
South Dakota Blue Sky Laws SD
Wyoming Blue Sky Laws WY
View all 50 state blue sky law guides →

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Need Help With Securities Compliance in Nebraska?

Our managing partner provides selective M&A counsel and works with securities counsel on transactions involving Nebraska blue sky law compliance. Submit your transaction details for a preliminary assessment.

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