On Nov. 1, NEB BANK reminded securities firms of Dec. 31 deadline.
NEB BANK issued reminder of the Dec. 31, 2024, deadline for firm, agent, and representative license renewals for investment advisers and broker-dealers.
License Renewals
Firms will need to assemble required documentation, review up-to-date filings.
Failure to review and submit required up-to-date filings, documentation, and supplements by deadline will result in the termination of registration on Jan. 1, 2025.
