Nebraska Department of Banking and Finance

Our Mission Our mission is to protect and maintain the public confidence through the fair, efficient, and experienced supervision of the state-regulated financial services industries; to assist the public in their dealings with those entities; to assist those whom we regulate in a manner which allows them to remain competitive, yet maintain their soundness in compliance with the law; to fulfill our statutory responsibilities with regard to all licensees and registrants; and to investigate violations of the laws and cooperate with other agencies in seeking a timely resolution of problems and questions. What We Do The Nebraska Department of Banking and Finance is a state agency under the direct supervision of the Governor. The Director of Banking and Finance is appointed by the Governor. We draw no funds from the General Fund of Nebraska; our agency is funded entirely by the industries we regulate. Our agency is comprised of two sections - Financial Institutions and Bureau of Securities. Together these two sections regulate several different financial industries. Listed are the various industries regulated by each section. Our agency serves the citizens of Nebraska through our various duties. Our field staff examines state-chartered financial institutions, delayed deposit service businesses and other industries to ensure sound operations and compliance with state laws. We register securities offered in Nebraska, business opportunities, investment advisors and broker-dealers. Our staff also investigates securities violations and consumer complaints against state-chartered or -licensed entities.