General Information

• Committee of Jurisdiction:

  Agriculture
• Occupation Regulated:

  Bulk Milk Hauler/Sampler
• Occupational Board:

  No Board - it is FSCP at NDA
• Contact:

  Teresa Curry, Dan Kahler, and Randy Chloupek
• Purpose:

  To regulate the collection (hauling and sampling) of bulk raw milk for processing in the state of Nebraska.
• Regulated Professionals:

  103
• Year Created:

  §81-263.115, Laws 1969, chapter 5, §29, p. 86
• Year Active:

  1970
• Sunset Date:

  none

Authorization

• Statutory Authorization:

  currently, Neb. Rev. Stat. §2-3971
• Parent Agency:

  Nebraska Department of Agriculture

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0
• Required FY 2016-2015:

  0
• Held FY 2016-2015:

  0

Operations

• Support Staff:

  One
• Shared or Separate:

  Shared
• FY 2020-2019 Budget:

  13081
• FY 2019-2018 Budget:

  11176
• FY 2018-2017 Budget:

  10403
• FY 2017-2016 Budget:

  10712
• FY 2016-2015 Budget:

  10506
• Other Funding Sources:

  0
• Spending Authority:

  NDA, Program 57, $13,000

Other

• Government Certificates Issued:

  118
• Issued Certificate Descriptions:

  *Number represent NEWLY issued licenses, not renewed licenses FY 19/20 - 19 FY 18/19 - 25 FY 17/18 - 37 FY 16/17 - 14 FY 15/16 - 23
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  N/A
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  N/A
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  N/A
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  See attached PDF.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Agriculture
• Occupation Regulated:

  Milk Cooperative Field Representative
• Occupational Board:

  N/A
• Contact:

  Teresa Curry, Dan Kahler, and Randy Chloupek
• Purpose:

  Field representative means an individual qualified and trained in the sanitary methods of production and handling of milk as set forth in the Nebraska Milk Act and who is generally employed by a processing or manufacturing milk plant or cooperative for the purpose of quality control work.
• Regulated Professionals:

  2
• Year Created:

  §81-263.115, Laws 1969, chapter 5, §29, p. 86
• Year Active:

  1970
• Sunset Date:

  none

Authorization

• Statutory Authorization:

  Currently, Neb. Rev. Stat. §2-3971
• Parent Agency:

  Nebraska Department of Agriculture

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0
• Required FY 2016-2015:

  0
• Held FY 2016-2015:

  0

Operations

• Support Staff:

  One
• Shared or Separate:

  Shared
• FY 2020-2019 Budget:

  0
• FY 2019-2018 Budget:

  0
• FY 2018-2017 Budget:

  0
• FY 2017-2016 Budget:

  0
• FY 2016-2015 Budget:

  0
• Other Funding Sources:

  N/A
• Spending Authority:

  NDA, Program 57

Other

• Government Certificates Issued:

  1
• Issued Certificate Descriptions:

  This number represents the number of NEW licenses issued during the five year period. One new license was issued in FY 2016/17.
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  N/A
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  N/A
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  N/A
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  The field representative is responsible for quality control and procurement of raw milk for processing as well as performing sampling duties when authorized by NDA. The public health and product safety is dependent upon a quality milk supply.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Agriculture
• Occupation Regulated:

  Livestock Dealer
• Occupational Board:

  N/A
• Contact:

  N/A
• Purpose:

  Livestock disease prevention and control. The process of tracing back suspected, infected or exposed livestock is of major importance in the Department’s licensing of livestock dealers.
• Regulated Professionals:

  The following is the number of licensed livestock dealers over the past five years: 2014/2015 – 169
• Year Created:

  Statute was enacted on August 28, 1969. No occupational board was created.
• Year Active:

  This program does not operate under an occupational board.
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Neb. Rev. Stat. §§54-1701 to 54-1711.
• Parent Agency:

Memberships

• Number of Members:

  N/A
• Who Appoints:

  N/A
• Legislative Approval:

  N/A
• Qualifications of Members:
• Per Diem:

  No
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0
• Required FY 2016-2015:

  0
• Held FY 2016-2015:

  0
• Required FY 2015-2014:

  0
• Held FY 2015-2014:

  0

Operations

• Support Staff:

  One
• Shared or Separate:

  Shared
• FY 2019-2018 Budget:

  156
• FY 2018-2017 Budget:

  174
• FY 2017-2016 Budget:

  171
• FY 2016-2015 Budget:

  168
• FY 2015-2014 Budget:

  169
• Other Funding Sources:

  0
• Spending Authority:

  N/A

Other

• Government Certificates Issued:

  0
• Issued Certificate Descriptions:

  N/A
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  N/A
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  N/A
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  N/A
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Agriculture
• Occupation Regulated:

  First Purchase Grain Dealers
• Occupational Board:

  N/A
• Contact:

  Mike Hybl
• Purpose:

  The protection of Nebraska producers of grain who sell grain other than to a licensed grain warehouse.
• Regulated Professionals:

  123
• Year Created:

  Unknown
• Year Active:

  Unknown
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  75 Article 9
• Parent Agency:

  Nebraska Public Service Commission

Memberships

• Number of Members:

  No Board
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0
• Required FY 2016-2015:

  0
• Held FY 2016-2015:

  0
• Required FY 2015-2014:

  0
• Held FY 2015-2014:

  0

Operations

• Support Staff:

  3
• Shared or Separate:

  Shared
• FY 2019-2018 Budget:

  34149
• FY 2018-2017 Budget:

  35939
• FY 2017-2016 Budget:

  36706
• FY 2016-2015 Budget:

  37302
• FY 2015-2014 Budget:

  33988
• Other Funding Sources:

  N/A
• Spending Authority:

  34821

Other

• Government Certificates Issued:

  660
• Issued Certificate Descriptions:

  2019-126, 2018-130, 2017-127, 2016-133, 2015-144
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  None
• Government Certificates Denied:

  1
• Denied Certificate Descriptions:

  1 Unlicensed and failed to meet requirements.
• Government Certificates Penalties Against:

  1
• Penalty Certificate Descriptions:

  $10,000 fine for operating without a license.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  If no longer regulated would allow out of state entities to buy grain with the potential to not pay for the grain, leaving limited recourse to Nebraska producers. Over a third of licensed dealers are from out of state. In state buyers would also have no
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Insurance Agents and Insurance Related Individual Licenses
• Occupational Board:

  N/a
• Contact:

  Jordan Blades
• Purpose:

  The Department of Insurance shall have general supervision, control, and regulation of insurance companies, associations, and societies and the business of insurance in Nebraska, including companies in process of organization.
• Regulated Professionals:

  152,026
• Year Created:

  1913
• Year Active:

  1913
• Sunset Date:

  N/a

Authorization

• Statutory Authorization:

  44-101,1101-1107,2606-2635,3701-3721,4047-4067,4901-4910,5501-5515,5601-5613,8801-8808,9201
• Parent Agency:

  Department of Insurance

Memberships

• Number of Members:

  N/a - State Agency
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2024-2023:

  0
• Held FY 2024-2023:

  0
• Required FY 2023-2022:

  0
• Held FY 2023-2022:

  0
• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0

Operations

• Support Staff:

  4
• Shared or Separate:

  Shared
• FY 2024-2023 Budget:

  385709
• FY 2023-2022 Budget:

  458476
• FY 2022-2021 Budget:

  380945
• FY 2021-2020 Budget:

  455808
• FY 2020-2019 Budget:

  383085
• Other Funding Sources:

  N/a
• Spending Authority:

  See budget appropriations

Other

• Government Certificates Issued:

  163523
• Issued Certificate Descriptions:

  "Issued" in this context means that a license was given by the department.
• Government Certificates Revoked:

  89
• Revoked Certificate Descriptions:

  "Revoked" refers to the situations where the Department has taken away a previously issued license.
• Government Certificates Denied:

  87
• Denied Certificate Descriptions:

  "Denied refers to both initial license applications that were rejected, along with applications for renewals of existing licenses that were rejected.
• Government Certificates Penalties Against:

  63
• Penalty Certificate Descriptions:

  "Penalties Against" refers to situations when an existing license holder had a license suspended and/or a fined levied against them.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Primarily, Nebraska would lose its authority to monitor the Nebraska insurance industry and remove bad actors. As noted above, insurance producers have
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Abstracting
• Occupational Board:

  Abstracters Board of Examiners
• Contact:

  Julie Hoppe
• Purpose:

  The Abstracters Board of Examiners regulates the activities of abstracters and abstracting companies by enforcing and administering the laws and requirements of the Abstracters Act through supervision, examination and education of individual abstracters and abstracting companies.
• Regulated Professionals:

  174 Certificates of Registration, 60 duplicate certificates and 131 Certificates of Registration.
• Year Created:

  1965
• Year Active:

  1965
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  76-502-76-558
• Parent Agency:

Memberships

• Number of Members:

  5
• Who Appoints:

  The Governor
• Legislative Approval:

  No
• Qualifications of Members:

  3 members must be abstracters with at least 5 years of experience, one must be an attorney practicing in real estate and the other is a member of the public.
• Per Diem:

  Yes
• Expense Reimbursement:

  Yes
• Term Length:

  5 years
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2023-2022:

  2
• Held FY 2023-2022:

  3
• Required FY 2022-2021:

  2
• Held FY 2022-2021:

  3
• Required FY 2021-2020:

  2
• Held FY 2021-2020:

  2
• Required FY 2020-2019:

  2
• Held FY 2020-2019:

  3
• Required FY 2019-2018:

  2
• Held FY 2019-2018:

  3

Operations

• Support Staff:

  .25
• Shared or Separate:

  separate
• FY 2023-2022 Budget:

  27729
• FY 2022-2021 Budget:

  27447
• FY 2021-2020 Budget:

  25169
• FY 2020-2019 Budget:

  25468
• FY 2019-2018 Budget:

  24256
• Other Funding Sources:

  Fund 26610 program 058 includes application fees, exam fees and registration/relicensing fees.
• Spending Authority:

  76-549

Other

• Government Certificates Issued:

  710
• Issued Certificate Descriptions:

  Includes both new licenses and licenses renewed in 2020 and in 2022.
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  Removal or suspension of a license.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  Refusal to issue a license to an applicant due to an unacceptable application (i.e.. felony)
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  The Board does not have authority to penalize.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  As explained in the above document, the knowledge needed by an abstracter is very vast. The general public relies on that knowledge in their real estate transactions. The report of title compiled by the abstracter determines ownership, as well as whether the property has a complete and functional legal description, whether subdivisions have been plotted correctly and properly recorded, whether there are liens affecting the property, and many other things. If the occupation were no longer regulated, this information would cease to be of the quality necessary to make good decisions regarding real property.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Abstracting
• Occupational Board:

  Abstracters Board of Examiners
• Contact:

  Julie Hoppe
• Purpose:

  The Abstracters Board of Examiners regulates the activities of abstracters and abstracting companies by enforcing and administering the laws and requirements of the Abstracters Act through supervision, examination and education of individual abstracters and abstracting companies.
• Regulated Professionals:

  174 Certificates of Registration, 60 duplicate certificates and 131 Certificates of Registration.
• Year Created:

  1965
• Year Active:

  1965
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  76-502-76-558
• Parent Agency:

Memberships

• Number of Members:

  5
• Who Appoints:

  The Governor
• Legislative Approval:

  No
• Qualifications of Members:

  3 members must be abstracters with at least 5 years of experience, one must be an attorney practicing in real estate and the other is a member of the public.
• Per Diem:

  Yes
• Expense Reimbursement:

  Yes
• Term Length:

  5 years
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2023-2022:

  2
• Held FY 2023-2022:

  3
• Required FY 2022-2021:

  2
• Held FY 2022-2021:

  3
• Required FY 2021-2020:

  2
• Held FY 2021-2020:

  2
• Required FY 2020-2019:

  2
• Held FY 2020-2019:

  3
• Required FY 2019-2018:

  2
• Held FY 2019-2018:

  3

Operations

• Support Staff:

  .25
• Shared or Separate:

  separate
• FY 2023-2022 Budget:

  27729
• FY 2022-2021 Budget:

  27447
• FY 2021-2020 Budget:

  25169
• FY 2020-2019 Budget:

  25468
• FY 2019-2018 Budget:

  24256
• Other Funding Sources:

  Fund 26610 program 058 includes application fees, exam fees and registration/relicensing fees.
• Spending Authority:

  76-549

Other

• Government Certificates Issued:

  710
• Issued Certificate Descriptions:

  Includes both new licenses and licenses renewed in 2020 and in 2022.
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  Removal or suspension of a license.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  Refusal to issue a license to an applicant due to an unacceptable application (i.e.. felony)
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  The Board does not have authority to penalize.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  As explained in the above document, the knowledge needed by an abstracter is very vast. The general public relies on that knowledge in their real estate transactions. The report of title compiled by the abstracter determines ownership, as well as whether the property has a complete and functional legal description, whether subdivisions have been plotted correctly and properly recorded, whether there are liens affecting the property, and many other things. If the occupation were no longer regulated, this information would cease to be of the quality necessary to make good decisions regarding real property.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Collection Agencies
• Occupational Board:

  Nebrasa Collection Agency Licensing Board
• Contact:

  David Wilson
• Purpose:

  Debt collection provides a valuable role in the business cycle. However, debt collection can place the debtors at risk of unfair, deceptive, or abusive acts or practices. Additionally, creditors entrust their accounts to the debt collector to recover and remit it. The Licensing Process ensures that collection agencies are competent to engage in the business, capable to comply with state and federal regulations protecting debtors and can be held to account if they fail to remit the funds due.
• Regulated Professionals:

  415
• Year Created:

  1963
• Year Active:

  1963
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  Neb. Rev. Stat. § 45-603
• Parent Agency:

  Secretary of State

Memberships

• Number of Members:

  5
• Who Appoints:

  Secretary of State is the chair. Governor appoints four 4 remaining members.
• Legislative Approval:

  No
• Qualifications of Members:

  Neb. Rev. Stat. § 45-603(1). Three must licensees actively engaged in the collection business in this state, one of whom shall reside in each of the state's three congressional districts. The remaining member shall be appointed at large as a representative of the public and is not actively engaged in the collection business in this state.
• Per Diem:

  No
• Expense Reimbursement:

  Yes
• Term Length:

  4 years
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2023-2022:

  4
• Held FY 2023-2022:

  4
• Required FY 2022-2021:

  4
• Held FY 2022-2021:

  4
• Required FY 2021-2020:

  4
• Held FY 2021-2020:

  4
• Required FY 2020-2019:

  4
• Held FY 2020-2019:

  4
• Required FY 2019-2018:

  4
• Held FY 2019-2018:

  4

Operations

• Support Staff:

  2
• Shared or Separate:

  Shared
• FY 2023-2022 Budget:

  96012
• FY 2022-2021 Budget:

  87418
• FY 2021-2020 Budget:

  128523
• FY 2020-2019 Budget:

  97156
• FY 2019-2018 Budget:

  111299
• Other Funding Sources:

  None
• Spending Authority:

  45-603

Other

• Government Certificates Issued:

  178
• Issued Certificate Descriptions:

  License to be act as Collection Agency (as defined in Neb. Rev. Stat. § 45-601).
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  n/a
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  n/a
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  n/a
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Collection Agencies are entrusted with money that is owed to their clients. Unscrupulous operations are able to take the money rightfully owed to the clients, which would cause great harm and loss to those businesses. Further, Collection Agencies are in contact with debtors, who are often times in financially difficult situations. Most Collection Agencies are aware of the challenges facing the debtors and work with them to ensure payments on debts they owe. Others will use intimidation, threats, and other illegal activities to attempt to collect debts or will attempt to collect debts that have been repaid. The Board ensures that only those businesses that are financially responsible and have the capability to comply with the state and federal regulations for debt collectors, are licensed in Nebraska. Nebraska businesses are protected from bad actors that would abscond with the funds the businesses are owed. Nebraska consumers are protected against bad-acting collection agencies that do not comply with consumer protection laws.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Real Estate Broker/Sales
• Occupational Board:

  Nebraska Real Estate Commission
• Contact:

  Greg Lemon
• Purpose:

  To protect the public interest of Nebraska citizens through the efficient and effective administration of the Nebraska Real Estate License Act
• Regulated Professionals:

  2,028 licensed active brokers and 5,675 licensed active sales as of the date of the report
• Year Created:

  1943
• Year Active:

  1643
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  81-885.07
• Parent Agency:

  Nebraska Real Estate Commission

Memberships

• Number of Members:

  7
• Who Appoints:

  Governor, Secretary of State Permanent Chair
• Legislative Approval:

  No
• Qualifications of Members:

  81-885.07 (1) There is hereby created the State Real Estate Commission which shall consist of the Secretary of State, who shall be chairperson of the commission, and six members appointed by the Governor. Three of the members of the commission appointed by the Governor shall be active and licensed real estate brokers who have engaged in the real estate business as brokers or associate brokers for not less than five years, which members shall be appointed by the Governor, one from each of the three congressional districts as the districts were constituted on January 1, 2006. The remaining members shall be appointed at large, one of whom shall be representative of the public, one of whom shall be a licensed real estate salesperson who has engaged in the real estate business as a salesperson for not less than three years, and one of whom shall be an active and licensed real estate broker who has engaged in the real estate business as a broker or associate broker for not less than five years. The member representing the former congressional district 1 on July 14, 2006, shall represent congressional district 1 for the balance of his or her term. The member representing the former congressional district 2 on July 14, 2006, shall represent congressional district 2 for the balance of his or her term. The member representing the former congressional district 3 on July 14, 2006, shall become an at-large member for the balance of his or her term. The member representing the former congressional district 4 on July 14, 2006, shall represent congressional district 3 for the balance of his or her term.
• Per Diem:

  Yes
• Expense Reimbursement:

  Yes
• Term Length:

  6 years
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2023-2022:

  0
• Held FY 2023-2022:

  10
• Required FY 2022-2021:

  10
• Held FY 2022-2021:

  10
• Required FY 2021-2020:

  10
• Held FY 2021-2020:

  10
• Required FY 2020-2019:

  10
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  11

Operations

• Support Staff:

  11
• Shared or Separate:

  Separate
• FY 2023-2022 Budget:

  1254860
• FY 2022-2021 Budget:

  1127309
• FY 2021-2020 Budget:

  1639895
• FY 2020-2019 Budget:

  1233286
• FY 2019-2018 Budget:

  1207344
• Other Funding Sources:

  All Cash Funds From License Fees
• Spending Authority:

  81-885.07(4)

Other

• Government Certificates Issued:

  3679
• Issued Certificate Descriptions:

  Total number of sales and broker licenses issued in the last five fiscal years, Broker and Sales Breakdown , Broker 529, Sales 3,150
• Government Certificates Revoked:

  2
• Revoked Certificate Descriptions:

  Licenses permanently revoked for violation of the License Act
• Government Certificates Denied:

  15
• Denied Certificate Descriptions:

  The number above is for 2021 and 2022 only, these were manually counted. Applicants who have a criminal history which may disqualify them under the License Act appear before the Commission for an informal special appearance for review. In the two years we had approximately 300 (estimated) applications with some kind of criminal history, of the 300 35 rose to the level of possible disqualification for license under the statute and came in for a special appearance, of the 35 that came in 35 were denied for recent felonies and or a persistent pattern of violations that showed no signs of abating.
• Government Certificates Penalties Against:

  76
• Penalty Certificate Descriptions:

  Number of disciplinary actions resulting in a finding of violation in the last five years. Disciplinary action can result from an order pursuant to hearing in front of the Commission or a consent decree approved by the Commission. Disciplinary orders include suspension, probation, fines, censures, ordered education or some combination thereof.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Real estate licensees assist buyers and sellers with complicated transactions involving the largest amount of money many will commit in their lives, The agent assists the buyers and sellers in assuring the proper paperwork is created and supplied for closing, how to fill out the purchase contract, how to order inspections and meet contract contingencies, how to qualify for and obtain financing of a purchase. The risk of having untrained people assist with these tasks include unscrupulous parties using personal and financial information to steal money, not having the proper paperwork filled out for closings, and not having proper inspections done and getting a property with defects and not what the buyer wanted.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Issuer-Dealer Agent
• Occupational Board:

  N/A
• Contact:

  Claire McHenry, Deputy Director
• Purpose:

  Under the Securities Act of Nebraska it shall be unlawful for an issuer to employ an agent unless the issuer is registered as an issuer-dealer and unless the agent is registered. 8-1103.
• Regulated Professionals:

  As of end of FY 2021-2022, 8 registered issuer-dealer agents
• Year Created:

  1913
• Year Active:

  1913
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Securities Act of Nebraska, 8-1101-1123.
• Parent Agency:

  Nebraska Department of Banking and Finance

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  2 *Whole compensation figures. Does not consider percentage allocation of time.
• Shared or Separate:

  Shared
• FY 2022-2021 Budget:

  102875
• FY 2021-2020 Budget:

  94767
• FY 2020-2019 Budget:

  82915
• FY 2019-2018 Budget:

  83344
• FY 2018-2017 Budget:

  120872
• Other Funding Sources:

  No Other Funding Sources
• Spending Authority:

  Neb. Rev. Stat. § 8-1120 (Director may employ as may be necessary for administration)

Other

• Government Certificates Issued:

  56
• Issued Certificate Descriptions:

  “Issued” in this context means registration by the Department
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  "Revoked" refers to situations where the Department has taken away a previously issued license.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  "Denied" refers to initial license applications that were denied by the Department
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  ”Penalties Against” refers to situations when an existing license holder had a license suspended and/or a fine levied against them.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  * Provide an explanation for why you believe or do not believe that the occupational regulations overseen by your board have been effective. The securities industry is a highly regulated industry. Persons who receive compensation for the sales of securities sold directly by the issuer, similar to broker-dealer agents, are in a position of trust and have access to sensitive personal financial information about Nebraska consumers. The Department and the State have a strong interest in monitoring the industry and removing bad actors. As can be seen from the numbers provided, the limited number of license denials demonstrates a low barrier of entry into the profession. Further, the numbers of licenses revoked or given penalties is very low in comparison to the number of registrants. While most registrants are of high integrity, the existing regulatory frame work gives the Department the necessary authority to remove bad actors from taking advantage of the sensitive information and position of power they have access to. Although not every state has the specific issuer-dealer and issuer-dealer agent registration requirement, many states have an agent of issuer registration requirement for those persons receiving sales-based compensation for the sale of securities. Additionally, the Department would share such registration information with other state or federal securities agencies. What is the potential harm if this occupation is no longer licensed, certified, or regulated? Primarily, Nebraska would lose its authority to monitor the Nebraska securities industry and remove bad actors. As noted above, issuer-dealer agents have access to sensitive personal financial information of Nebraska consumers and, as such, must meet certain minimum requirements related to education, knowledge, and integrity. The ability to remove bad actors from the marketplace is an important protection for Nebraska consumers. Most state securities regulators have securities laws and regulations based on the Uniform Securities Act of 1956 or 2002, and model rules promulgated by the North American Securities Administrators Association (NASAA), of which Nebraska is a member. Disciplinary actions and violations of one jurisdiction’s securities laws and rules may be the basis for denial of a registrant in another jurisdiction. Although not every state has the specific issuer-dealer and issuer-dealer agent registration requirement, many states have an agent of issuer registration requirement for those persons receiving sales-based compensation for the sale of securities. Additionally, the Department would share such registration information with other state or federal securities agencies. * Provide a comparison of whether and how other states regulate the occupation. See above.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Investment Adviser Representative
• Occupational Board:

  N/A
• Contact:

  Claire McHenry, Deputy Director
• Purpose:

  Under the Securities Act of Nebraska it shall be unlawful for any person to transact business in this state as an investment adviser or as an investment adviser representative unless he or she is registered under the act. 8-1103.
• Regulated Professionals:

  As of end of FY 2021-2022, 4735 registered Investment Adviser Representatives
• Year Created:

  1913
• Year Active:

  1913
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Securities Act of Nebraska, 8-1101-1123.
• Parent Agency:

  Nebraska Department of Banking and Finance

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  2 *Whole compensation figures. Does not consider percentage allocation of time.
• Shared or Separate:

  Shared
• FY 2022-2021 Budget:

  102875
• FY 2021-2020 Budget:

  94767
• FY 2020-2019 Budget:

  82915
• FY 2019-2018 Budget:

  83344
• FY 2018-2017 Budget:

  120872
• Other Funding Sources:

  No Other Funding Sources
• Spending Authority:

  Neb. Rev. Stat. § 8-1120 (Director may employ as may be necessary for administration)

Other

• Government Certificates Issued:

  21700
• Issued Certificate Descriptions:

  “Issued” in this context means registration by the Department
• Government Certificates Revoked:

  15
• Revoked Certificate Descriptions:

  "Revoked" refers to situations where the Department has taken away a previously issued license, including licenses that were conditionally provisioned on submitting required citizenship attestation information.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  "Denied" refers to initial license applications that were denied by the Department
• Government Certificates Penalties Against:

  4
• Penalty Certificate Descriptions:

  ”Penalties Against” refers to situations when an existing license holder had a license suspended and/or a fine levied against them.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  * Provide an explanation for why you believe or do not believe that the occupational regulations overseen by your board have been effective. The securities industry is a highly regulated industry. The existing statutory and regulatory requirements, as well as coordination with other states through the CRD/IARD System, has allowed the Department to effectively monitor the industry and remove bad actors. Investment adviser representatives are in a position of trust and have access to sensitive personal financial information about Nebraska consumers. As can be seen from the numbers provided, the limited number of license denials demonstrates a low barrier of entry into the profession. Further, the numbers of licenses revoked or given penalties is very low in comparison to the number of registrants. While most registrants are of high integrity, the existing regulatory frame work gives the Department the necessary authority to remove bad actors from taking advantage of the sensitive information and position of power they have access to. Due to various business models and multi-state activity, it is common for registrants to be licensed in several states at the same time. Due to this situation, all 50 states, the District of Columbia, Puerto Rico, and the US Virgin Islands, FINRA, and the SEC utilize the CRD/IARD System. The CRD/IARD System allows for sharing of investment adviser representative licensing records among the various participants. Such sharing allows the participants to keep each other informed when a registrant has violated a law or had a securities registration revoked in another jurisdiction. This multi-state mechanism allows Nebraska to protect its citizens against rogue or dishonest persons. What is the potential harm if this occupation is no longer licensed, certified, or regulated? Primarily, Nebraska would lose its authority to monitor the Nebraska securities industry and remove bad actors. As noted above, investment adviser representatives have access to sensitive personal financial information of Nebraska consumers and, as such, must meet certain minimum requirements related to education, knowledge, and integrity. The ability to remove bad actors from the marketplace is an important protection for Nebraska consumers. Further, removal of this registration would have an impact on nationwide uniformity. Registration of investment adviser representatives occurs at the state level only. States utilize uniform qualifying exams and forms and registrants must comply with various state laws and regulations governing their activities. State securities regulators oversee investment adviser representative activities as part of a comprehensive regulatory framework designed to protect investor interests in securities transactions. Most state securities regulators have securities laws and regulations based on the Uniform Securities Act of 1956 or 2002, and model rules promulgated by the North American Securities Administrators Association (NASAA), of which Nebraska is a member. Disciplinary actions and violations of one jurisdiction’s securities laws and rules may be the basis for denial of a registrant in another jurisdiction. * Provide a comparison of whether and how other states regulate the occupation. See above. All other states, the District of Columbia, Puerto Rico, and the US Virgin Islands have a similar investment adviser representative registration structure as Nebraska.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Broker-Dealer Agents
• Occupational Board:

  N/A
• Contact:

  Claire McHenry, Deputy Director
• Purpose:

  Under the Securities Act of Nebraska, it shall be unlawful for any broker-dealer to employ an agent for purposes of effecting or attempting to effect transactions in this state unless the agent is registered. 8-1103.
• Regulated Professionals:

  As of end of FY 2021-2022, 129,941 registered broker-dealer agents
• Year Created:

  1913
• Year Active:

  1913
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Securities Act of Nebraska, 8-1101-1123.
• Parent Agency:

  Nebraska Department of Banking and Finance

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  2 *Whole compensation figures. Does not consider percentage allocation of time.
• Shared or Separate:

  Shared
• FY 2022-2021 Budget:

  102875
• FY 2021-2020 Budget:

  94767
• FY 2020-2019 Budget:

  82915
• FY 2019-2018 Budget:

  83344
• FY 2018-2017 Budget:

  120872
• Other Funding Sources:

  No Other Funding Sources
• Spending Authority:

  Neb. Rev. Stat. § 8-1120 (Director may employ as may be necessary for administration)

Other

• Government Certificates Issued:

  544386
• Issued Certificate Descriptions:

  “Issued” in this context means registration by the Department
• Government Certificates Revoked:

  230
• Revoked Certificate Descriptions:

  "Revoked" refers to situations where the Department has taken away a previously issued license, including licenses that were conditionally provisioned on submitting required citizenship attestation information.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  "Denied" refers to initial license applications that were denied by the Department
• Government Certificates Penalties Against:

  2
• Penalty Certificate Descriptions:

  ”Penalties Against” refers to situations when an existing license holder had a license suspended and/or a fine levied against them.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  * Provide an explanation for why you believe or do not believe that the occupational regulations overseen by your board have been effective. The securities industry is a highly regulated industry. The existing statutory and regulatory requirements, as well as coordination with other states through the CRD/IARD System, has allowed the Department to effectively monitor the industry and remove bad actors. Broker-dealer agents are in a position of trust and have access to sensitive personal financial information about Nebraska consumers. As can be seen from the numbers provided, the limited number of license denials demonstrates a low barrier of entry into the profession. Further, the numbers of licenses revoked or given penalties is very low in comparison to the number of registrants. While most registrants are of high integrity, the existing regulatory frame work gives the Department the necessary authority to remove bad actors from taking advantage of the sensitive information and position of power they have access to. Due to various business models and multi-state activity, it is common for registrants to be licensed in several states at the same time. Due to this situation, all 50 states, the District of Columbia, Puerto Rico, and the US Virgin Islands, FINRA, and the SEC utilize the CRD/IARD System. The CRD/IARD System allows for sharing of broker-dealer agent licensing records among the various participants. Such sharing allows the participants to keep each other informed when a registrant has violated a law or had a securities registration revoked in another jurisdiction. This multi-state mechanism allows Nebraska to protect its citizens against rogue or dishonest persons. What is the potential harm if this occupation is no longer licensed, certified, or regulated? Primarily, Nebraska would lose its authority to monitor the Nebraska securities industry and remove bad actors. As noted above, broker-dealer agents have access to sensitive personal financial information of Nebraska consumers and, as such, must meet certain minimum requirements related to education, knowledge, and integrity. The ability to remove bad actors from the marketplace is an important protection for Nebraska consumers. Further, removal of this registration would have an impact on nationwide uniformity. States utilize uniform qualifying exams and forms and registrants must comply with various state laws and regulations governing their activities. State securities regulators oversee broker-dealer agent activities as part of a comprehensive regulatory framework designed to protect investor interests in securities transactions. Most state securities regulators have securities laws and regulations based on the Uniform Securities Act of 1956 or 2002, and model rules promulgated by the North American Securities Administrators Association (NASAA), of which Nebraska is a member. Disciplinary actions and violations of one jurisdiction’s securities laws and rules may be the basis for denial of a registrant in another jurisdiction. * Provide a comparison of whether and how other states regulate the occupation. See above. All other states, the District of Columbia, Puerto Rico, and the US Virgin Islands have a similar broker-dealer agent registration structure as Nebraska.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Loan Officer (Credit Union)
• Occupational Board:

  N/A
• Contact:

  Darcy Bailar, Deputy Director
• Purpose:

  Under the Credit Union Act a chief executive officer or the credit committee of a credit union may apply to the Department for the licensing of one or more loan officers to delegate to such loan officers the power to approve loans. Since 2017 a credit union may elect for its loan officers to be exempt from the requirement to apply for and obtain a loan officer license. Neb. Rev. Stat. § 21-1770.
• Regulated Professionals:

  26
• Year Created:

  1996
• Year Active:

  1996
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Credit Union Act Neb Rev. Stat. § 21-1770
• Parent Agency:

  Nebraska Department of Banking and Finance

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  5 *Whole compensation figures. Does not consider percentage allocation of time.
• Shared or Separate:

  Shared
• FY 2022-2021 Budget:

  492590
• FY 2021-2020 Budget:

  573627
• FY 2020-2019 Budget:

  539630
• FY 2019-2018 Budget:

  541486
• FY 2018-2017 Budget:

  473931
• Other Funding Sources:

  No Other Funding Sources
• Spending Authority:

  Neb. Rev. Stat. § 8-601 (Administration). Neb. Rev. Stat. § 84-1116.01 (Authority beyond budget).

Other

• Government Certificates Issued:

  18
• Issued Certificate Descriptions:

  “Issued” in this context means application approved by the Department.
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  “Revoked” refers to situations where the Department has taken away a previously issued license.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  “Denied” refers to initial license applications denied by the Director and does not include withdrawn applications.
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  “Penalty” refers to fines against an individual licensee and not conditions placed on licenses.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  * Provide an explanation for why you believe or do not believe that the occupational regulations overseen by your board have been effective. Loan officers who interact and work with loan and credit product customers are in a position of trust and have access to sensitive personal financial information about Nebraska consumers. Loan officers also are given authority by their institutions to make loans of certain amounts without Board approval and therefore can put a financial institution at risk when making loans. The Department and the State have a strong interest in monitoring the industry and removing bad actors. The low amount of license denials demonstrates a low barrier to entry into the profession. The number of licenses revoked or given penalties is very low in comparison to the number of registrants. The existing regulatory framework gives the Department the necessary authority to remove bad actors who misuse customer and credit union funds or take advantage of the sensitive information they have access to or their position of power. The Department would share information with relevant Federal regulators in order to maintain a cohesive supervisory network. Establishing minimum requirements for loan officers helps protect communities from illegal and possibly predatory practices and may promote local economic growth. What is the potential harm if this occupation is no longer licensed, certified, or regulated? Nebraska would lose some of its authority to monitor individuals working in credit unions, remove bad actors, and reduce risk to credit unions. The Department would not be able to ensure that loan officers in credit union meet minimum standards related to character and experience. The ability to remove bad actors is an important protection for Nebraska consumers. All states, and relevant Federal agencies, have regulatory processes to monitor credit union institutions and provide for their safety and soundness. Violation of any other states credit union regulations may disqualify an individual from working in other states. * Provide a comparison of whether and how other states regulate the occupation. See above.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Executive Officer License
• Occupational Board:

  N/A
• Contact:

  Darcy Bailar, Deputy Director
• Purpose:

  Under the Nebraska Banking Act, no loan or investment shall be made without the approval of an executive officer, unless a bank has elected for its executive officers to be exempt from the requirement to apply for and obtain an Executive Officer License from the Department. Neb. Rev. Stat. § 8-139
• Regulated Professionals:

  179
• Year Created:

  1921
• Year Active:

  1921
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Nebraska Banking Act § 8-139
• Parent Agency:

  Nebraska Department of Banking and Finance

Memberships

• Number of Members:

  N/A
• Who Appoints:

  N/A
• Legislative Approval:

  N/A
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  5 *Whole compensation figures. Does not consider percentage allocation of time.
• Shared or Separate:

  Shared
• FY 2022-2021 Budget:

  492590
• FY 2021-2020 Budget:

  573627
• FY 2020-2019 Budget:

  539630
• FY 2019-2018 Budget:

  541486
• FY 2018-2017 Budget:

  473931
• Other Funding Sources:

  No Other Funding Sources
• Spending Authority:

  Neb. Rev. Stat. § 8-601 (Administration). Neb. Rev. Stat. § 84-1116.01 (Authority beyond budget).

Other

• Government Certificates Issued:

  437
• Issued Certificate Descriptions:

  “Issued” in this context means Executive Officer Licenses issued to individuals.
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  “Revoked” refers to situation where Department has taken away previously issued license.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  “Denied” refers to initial license applications denied by Department and does not include withdrawn applications.
• Government Certificates Penalties Against:

  1
• Penalty Certificate Descriptions:

  “Penalty” refers to any Executive Officer Licensee fined by Department.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Executive loan officers who interact and work with loan and bank product customers are in a position of trust and have access to sensitive personal financial information about Nebraska consumers. Executive loan officers also are given authority by their institutions to make loans and/or investments of certain amounts without Board approval and therefore can put a financial institution at risk. Community bank loan officers generally have more authority to make executive credit decisions than larger institution loan officers. The Department and the State have a strong interest in monitoring the industry and removing bad actors. The low amount of license denials demonstrates a low barrier to entry into the profession. Banks are quasi-public financial institutions. The number of licenses revoked or given penalties is very low in comparison to the number of registrants. The existing regulatory framework gives the Department the necessary authority to remove bad actors who misuse customer and bank funds or take advantage of the sensitive information they have access to or their position of power. The Department would share information with relevant Federal regulators in order to maintain a cohesive supervisory network. Establishing minimum requirements for executive loan officers helps protect communities from illegal and possibly predatory practices and may promote local economic growth. What is the potential harm if this occupation is no longer licensed, certified, or regulated? Nebraska would lose some of its authority to monitor individuals working in banks and remove bad actors and reduce risk to banks. The Department would not be able to ensure that loan officers in banks meet minimum standards related to character and experience. The ability to remove bad actors is an important protection for Nebraska consumers. All states, and relevant Federal banking agencies, have regulatory processes to monitor banking institutions and provide for their safety and soundness. Violation of any other state’s banking regulations may disqualify an individual from working in other states. * Provide a comparison of whether and how other states regulate the occupation. See above.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Mortgage Loan Originator
• Occupational Board:

  N/A
• Contact:

  Darcy Bailar, Deputy Director
• Purpose:

  Under the Nebraska Residential Mortgage Licensing Act, an individual, not otherwise exempted from licensing, cannot engage in, or offer to engage in, the business of a mortgage loan originator for residential real estate without first obtaining a license under the Nebraska Residential Mortgage Licensing Act. Neb. Rev. Stat. § 45-727.
• Regulated Professionals:

  6,614 Current Approved Licenses (11/1/2022)
• Year Created:

  2009
• Year Active:

  2010
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Nebraska Residential Mortgage Licensing Act, Neb. Rev. Stat. §§ 45-727 to 45-736.
• Parent Agency:

  Nebraska Department of Banking and Finance

Memberships

• Number of Members:

  NA
• Who Appoints:

  NA
• Legislative Approval:

  NA
• Qualifications of Members:

  NA
• Per Diem:

  No
• Expense Reimbursement:

  No
• Term Length:

  NA
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  2 *Whole compensation figures. Does not consider percentage allocation of time.
• Shared or Separate:

  Shared
• FY 2022-2021 Budget:

  163444
• FY 2021-2020 Budget:

  164013
• FY 2020-2019 Budget:

  154092
• FY 2019-2018 Budget:

  149201
• FY 2018-2017 Budget:

  133186
• Other Funding Sources:

  No Other Funding Sources
• Spending Authority:

  Neb. Rev. Stat. § 8-601 (Director may employ as may be necessary for administration.)

Other

• Government Certificates Issued:

  17669
• Issued Certificate Descriptions:

  “Issued” in this context means license approved by the Department in Nationwide Mortgage Licensing System & Registry.
• Government Certificates Revoked:

  1
• Revoked Certificate Descriptions:

  “Revoked” refers to situations where the Department has taken away a previously issued license in the National Mortgage Licensing System.
• Government Certificates Denied:

  98
• Denied Certificate Descriptions:

  “Denied” refers to initial license applications that the Department directly denied and does not include abandoned or withdrawn license applications.
• Government Certificates Penalties Against:

  5
• Penalty Certificate Descriptions:

  “Penalty” means instances where the Department took administrative action against a licensee or an applicant as a result of their professional conduct or failure to meet licensing requirements. This could include consent orders, suspensions, or other such actions.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  The Nebraska Residential Mortgage Licensing Act is designed to enhance consumer protection and reduce fraud by establishing minimum standards for the licensing of state-licensed mortgage loan originators. By establishing and following licensing standards under the Act, the State works in concert and coordination with other states to provide uniform license applications and reporting requirements for licensees. Licensing under the Act also improves the flow of communication between state regulators to make consumers safer. The licensing measures provide consumers with easily accessible information, at no charge, regarding employment, disciplinary, and enforcement history of licensed loan originators. Individuals who act as mortgage loan originators are in a position of trust and have access to sensitive personal financial information about Nebraska consumers. The Department has a strong interest in monitoring the industry and removing bad actors. From the numbers provided in this survey, the limited number of license denials demonstrates a low barrier of entry into the profession. While most registrants meet minimum standards for licensure, the existing regulatory framework gives the Department the necessary authority to remove bad actors from taking advantage of the sensitive information and position of power they have access to. Licensing of mortgage loan originators provides increased integrity of the residential mortgage loan market. Thus, licensing of mortgage loan originators plays a vital role in helping prevent an economically perilous residential mortgage loan environment. What is the potential harm if this occupation is no longer licensed, certified, or regulated? Nebraska would lose its ability and authority monitor residential mortgage originators and remove bad actors. Mortgage loan originators have access to sensitive personal and financial information of Nebraska consumers. As such, must meet certain minimum requirements related to education, knowledge, and character. The ability to remove bad actors from the marketplace is an important protection for Nebraska consumers. All States have mortgage loan originator licensing acts based around the Federal SAFE Act. Disciplinary actions and violations of one jurisdiction’s laws and rules may be the basis for a denial of a registrant in another jurisdiction. The Department is able to share license information with other state or federal agencies. If Nebraska stopped licensing and regulating this occupation it would lose its accreditation status from the Conference of State Bank Supervisors. * Provide a comparison of whether and how other states regulate the occupation. See above.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Certified Public Accountants (CPAs) and CPA Accounting Firms
• Occupational Board:

  Nebraska State Board of Public Accountancy
• Contact:

  Dan Sweetwood
• Purpose:

  • 1-105.01. Nebraska State Board of Public Accountancy; purpose. It is the purpose of the Nebraska State Board of Public Accountancy to protect the welfare of the citizens of the state by assuring the competency of persons regulated under the Public Accountancy Act through (1) administration of certified public accountant examinations, (2) issuance of certificates and permits to qualified persons and firms, (3) monitoring the requirements for continued issuance of certificates and permits...
• Regulated Professionals:

  Active CPAs 2,764; InActive Registrants 1,218; Certificates 1,273; CPA Firms 570
• Year Created:

  1957
• Year Active:

  1957
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Neb. Rev. Stat. 1-105 to 1-171
• Parent Agency:

  N/A

Memberships

• Number of Members:

  Eight
• Who Appoints:

  Governor
• Legislative Approval:

  No
• Qualifications of Members:

  As outlined within Neb. Stat. 1-107: “..The board shall consist of eight members appointed by the Governor. Six members of the board shall be holders of permits issued under subdivision (1)(a) of section 1-136, and two members of the board shall be laypersons. All members of the board shall be citizens of the United States and residents of Nebraska. Two of the members of the board, who are holders of permits, shall reside in each congressional district. Two members shall be appointed to the board each year for terms of four years. Vacancies occurring during a term shall be filled by appointment for the unexpired term. Upon the expiration of his or her term of office a member shall continue to serve until his or her successor has been appointed and qualified. The Governor shall remove from the board any member whose permit has become void or has been revoked or suspended and may, after hearing, remove any member of the board for neglect of duty or other just cause. No person who has served two complete terms of four years shall be eligible for reappointment. Appointment to fill an unexpired term shall not be considered a complete term”
• Per Diem:

  Yes
• Expense Reimbursement:

  Yes
• Term Length:

  Four years/ eligible for two terms only
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2021-2020:

  1
• Held FY 2021-2020:

  3
• Required FY 2020-2019:

  1
• Held FY 2020-2019:

  6
• Required FY 2019-2018:

  1
• Held FY 2019-2018:

  6
• Required FY 2018-2017:

  1
• Held FY 2018-2017:

  6
• Required FY 2017-2016:

  1
• Held FY 2017-2016:

  5

Operations

• Support Staff:

  Three
• Shared or Separate:

  Separate
• FY 2021-2020 Budget:

  430690
• FY 2020-2019 Budget:

  423948
• FY 2019-2018 Budget:

  420830
• FY 2018-2017 Budget:

  438830
• FY 2017-2016 Budget:

  431852
• Other Funding Sources:

  None
• Spending Authority:

  Neb. Rev. Stat. 1-110 and 1-111

Other

• Government Certificates Issued:

  5817
• Issued Certificate Descriptions:

  Certificate Holder: The Board issues a Certificate to those that have successfully passed the Uniform CPA Examination. A Certificate Holder cannot hold out as a CPA. They must register their certificate with the Board annually. Active Permit Holders (CPAs): The Board issues biennial Active Permits to Practice Public Accountancy to those applicants who have successfully completed the Uniform CPA Examination; an ethics examination; and required experience provisions as outlined within the Public Accountancy Act. Active Permit Holders must complete 80 hours of Continuing Professional Education (CPE) every two years to renew their Active Permit to Practice. An Active Permit Holder can hold out to the public as a Certified Public Accountant (CPA). InActive Registrants: The Board issues biennial InActive Registrations to those Active Permit Holders who choose to not hold out as an Active Permit Holder (CPA) and practice public accountancy. They also do not have to complete and submit CPE to the Board. They can reinstate to an Active Permit Practice after completing 120 hours of CPE within the preceding three years. CPA Firm Permit: The Board issues annual Permits to Practice to CPA firms who meet requirements within the Nebraska Public Accountancy Act. This includes proper forms of practice and ownership requirements.
• Government Certificates Revoked:

  20
• Revoked Certificate Descriptions:

  Over the course of the survey the Board has revoked three permits/certificates involving felony convictions while the vast majority of others (up to 10-15 annually) are considered administrative revocations for those who do not comply with renewal provisions and fail to stay in contact with the Board.
• Government Certificates Denied:

  5
• Denied Certificate Descriptions:

  The vast majority of candidates who apply to sit for the Uniform CPA Examination are highly motivated and prepared to meet the technical education requirements as outlined within Neb. Rev. Rules under Title 288/Chapter 9 to sit for the examination. Around 5 candidates a year require initial screening and advise upon submitting their application and are initially denied; however, having completed follow-up requirements eventually sit for the examination. A candidate may also have a criminal record and come under current regulations under Neb. Rev. Rules Title 288/Chapter 6 requiring the Board to review the matter.
• Government Certificates Penalties Against:

  9
• Penalty Certificate Descriptions:

  The intent of the Board’s regulatory program is to be educational in practice when possible. When necessary the Board disciplines CPAs and CPA firms for a wide range of failures to adhere to the various accounting professional standards referenced within the Public Accountancy Act and the Nebraska Rules of Professional Conduct. These include sanctions issued by other regulatory agencies including the Securities and Exchange Commission (SEC), the Public Accounting Oversight Board (PCAOB), the Nebraska State Auditor’s Office and others. Other discipline is issued after inquiries based on complaints from the public. CPA firms must also successfully complete the requirements under the national AICPA’s Peer Review Program
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  See above
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Certified Public Accountants (CPAs) and CPA Accounting Firms
• Occupational Board:

  Nebraska State Board of Public Accountancy
• Contact:

  Dan Sweetwood
• Purpose:

  • 1-105.01. Nebraska State Board of Public Accountancy; purpose. It is the purpose of the Nebraska State Board of Public Accountancy to protect the welfare of the citizens of the state by assuring the competency of persons regulated under the Public Accountancy Act through (1) administration of certified public accountant examinations, (2) issuance of certificates and permits to qualified persons and firms, (3) monitoring the requirements for continued issuance of certificates and permits...
• Regulated Professionals:

  Active CPAs 2,764; InActive Registrants 1,218; Certificates 1,273; CPA Firms 570
• Year Created:

  1957
• Year Active:

  1957
• Sunset Date:

  N/A

Authorization

• Statutory Authorization:

  Neb. Rev. Stat. 1-105 to 1-171
• Parent Agency:

  N/A

Memberships

• Number of Members:

  Eight
• Who Appoints:

  Governor
• Legislative Approval:

  No
• Qualifications of Members:

  As outlined within Neb. Stat. 1-107: “..The board shall consist of eight members appointed by the Governor. Six members of the board shall be holders of permits issued under subdivision (1)(a) of section 1-136, and two members of the board shall be laypersons. All members of the board shall be citizens of the United States and residents of Nebraska. Two of the members of the board, who are holders of permits, shall reside in each congressional district. Two members shall be appointed to the board each year for terms of four years. Vacancies occurring during a term shall be filled by appointment for the unexpired term. Upon the expiration of his or her term of office a member shall continue to serve until his or her successor has been appointed and qualified. The Governor shall remove from the board any member whose permit has become void or has been revoked or suspended and may, after hearing, remove any member of the board for neglect of duty or other just cause. No person who has served two complete terms of four years shall be eligible for reappointment. Appointment to fill an unexpired term shall not be considered a complete term”
• Per Diem:

  Yes
• Expense Reimbursement:

  Yes
• Term Length:

  Four years/ eligible for two terms only
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2021-2020:

  1
• Held FY 2021-2020:

  3
• Required FY 2020-2019:

  1
• Held FY 2020-2019:

  6
• Required FY 2019-2018:

  1
• Held FY 2019-2018:

  6
• Required FY 2018-2017:

  1
• Held FY 2018-2017:

  6
• Required FY 2017-2016:

  1
• Held FY 2017-2016:

  5

Operations

• Support Staff:

  Three
• Shared or Separate:

  Separate
• FY 2021-2020 Budget:

  430690
• FY 2020-2019 Budget:

  423948
• FY 2019-2018 Budget:

  420830
• FY 2018-2017 Budget:

  438830
• FY 2017-2016 Budget:

  431852
• Other Funding Sources:

  None
• Spending Authority:

  Neb. Rev. Stat. 1-110 and 1-111

Other

• Government Certificates Issued:

  5817
• Issued Certificate Descriptions:

  Certificate Holder: The Board issues a Certificate to those that have successfully passed the Uniform CPA Examination. A Certificate Holder cannot hold out as a CPA. They must register their certificate with the Board annually. Active Permit Holders (CPAs): The Board issues biennial Active Permits to Practice Public Accountancy to those applicants who have successfully completed the Uniform CPA Examination; an ethics examination; and required experience provisions as outlined within the Public Accountancy Act. Active Permit Holders must complete 80 hours of Continuing Professional Education (CPE) every two years to renew their Active Permit to Practice. An Active Permit Holder can hold out to the public as a Certified Public Accountant (CPA). InActive Registrants: The Board issues biennial InActive Registrations to those Active Permit Holders who choose to not hold out as an Active Permit Holder (CPA) and practice public accountancy. They also do not have to complete and submit CPE to the Board. They can reinstate to an Active Permit Practice after completing 120 hours of CPE within the preceding three years. CPA Firm Permit: The Board issues annual Permits to Practice to CPA firms who meet requirements within the Nebraska Public Accountancy Act. This includes proper forms of practice and ownership requirements.
• Government Certificates Revoked:

  20
• Revoked Certificate Descriptions:

  Over the course of the survey the Board has revoked three permits/certificates involving felony convictions while the vast majority of others (up to 10-15 annually) are considered administrative revocations for those who do not comply with renewal provisions and fail to stay in contact with the Board.
• Government Certificates Denied:

  5
• Denied Certificate Descriptions:

  The vast majority of candidates who apply to sit for the Uniform CPA Examination are highly motivated and prepared to meet the technical education requirements as outlined within Neb. Rev. Rules under Title 288/Chapter 9 to sit for the examination. Around 5 candidates a year require initial screening and advise upon submitting their application and are initially denied; however, having completed follow-up requirements eventually sit for the examination. A candidate may also have a criminal record and come under current regulations under Neb. Rev. Rules Title 288/Chapter 6 requiring the Board to review the matter.
• Government Certificates Penalties Against:

  9
• Penalty Certificate Descriptions:

  The intent of the Board’s regulatory program is to be educational in practice when possible. When necessary the Board disciplines CPAs and CPA firms for a wide range of failures to adhere to the various accounting professional standards referenced within the Public Accountancy Act and the Nebraska Rules of Professional Conduct. These include sanctions issued by other regulatory agencies including the Securities and Exchange Commission (SEC), the Public Accounting Oversight Board (PCAOB), the Nebraska State Auditor’s Office and others. Other discipline is issued after inquiries based on complaints from the public. CPA firms must also successfully complete the requirements under the national AICPA’s Peer Review Program
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  See above
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Real Property Appraisers and Appraisal Management Companies
• Occupational Board:

  Nebraska Real Property Appraiser Board
• Contact:

  Tyler Kohtz
• Purpose:

  The Real Property Appraiser Board was established to carry out Title XI of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 ("FIRREA") [Exhibit #1]. See attachment titled, "NRPAB Expanded Explanations for Questions on OBRA Survey."
• Regulated Professionals:

  822 Real Property Appraisers and 90 Appraisal Management Companies.
• Year Created:

  1991
• Year Active:

  19
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  Neb. Rev. Stat. §§ 76-2201 to 76-2250, and Neb. Rev. Stat. §§ 76-3201 to 76-3222
• Parent Agency:

  None

Memberships

• Number of Members:

  Five
• Who Appoints:

  Governor
• Legislative Approval:

  No
• Qualifications of Members:

  The NRPAB consists of five members; three members are certified real property appraisers representing each of the three congressional districts; two members are at-large: one representative of financial institutions, one licensed real estate broker.
• Per Diem:

  Yes
• Expense Reimbursement:

  Yes
• Term Length:

  Five years.
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  10
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  13
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  13
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  13
• Required FY 2016-2015:

  0
• Held FY 2016-2015:

  12

Operations

• Support Staff:

  Two staff members provide administrative support to an agency director.
• Shared or Separate:

  Separate
• FY 2020-2019 Budget:

  447401
• FY 2019-2018 Budget:

  383056
• FY 2018-2017 Budget:

  454462
• FY 2017-2016 Budget:

  388173
• FY 2016-2015 Budget:

  462584
• Other Funding Sources:

  None.
• Spending Authority:

  Neb. Rev. Stat. § 76-2241 and Neb. Rev. Stat. § 76-3219.

Other

• Government Certificates Issued:

  1310
• Issued Certificate Descriptions:

  The Board issues real property appraiser credentials in four classifications, temporary real property appraiser credentials, and registers AMCs. See attachment titled, "NRPAB Expanded Explanations for Questions on OBRA Survey.
• Government Certificates Revoked:

  1
• Revoked Certificate Descriptions:

  See attachment titled, "NRPAB Expanded Explanations for Questions on OBRA Survey."
• Government Certificates Denied:

  25
• Denied Certificate Descriptions:

  The majority of the real property appraiser applicant denials are due to not meeting the minimum standards in the Real Property Appraiser Qualifications Criteria. See attachment titled, "NRPAB Expanded Explanations for Questions on OBRA Survey."
• Government Certificates Penalties Against:

  4
• Penalty Certificate Descriptions:

  The intent of the Board’s regulatory program is to be educational in practice when possible. See attachment titled, "NRPAB Expanded Explanations for Questions on OBRA Survey."
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Ceasing to credential real property appraisers and registering appraisal management companies would cause significant harm to public trust, and put the State of Nebraska out of compliance with Title XI. See attachment titled, "NRPAB Expanded......"
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Banking, Commerce and Insurance
• Occupation Regulated:

  Insurance agents & insurance related individual licenses
• Occupational Board:

  N/A
• Contact:

  Tom Green
• Purpose:

  Department of Insurance shall have general supervision, control, and regulation of insurance companies, associations, and societies and the business of insurance in Nebraska, including companies in process of organization. The director shall have the powe
• Regulated Professionals:

  109371
• Year Created:

  1913 (licensing may have actually started even earlier)
• Year Active:

  1913
• Sunset Date:

  n/a

Authorization

• Statutory Authorization:

  44-101,1101-1107, 2606-2635, 3701-3721, 4047-4067, 4901-4910, 5501-5515, 5601-5613, 8801-8808, 9201
• Parent Agency:

  Department of Insurance

Memberships

• Number of Members:

  n/a - State Agency
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0
• Required FY 2016-2015:

  0
• Held FY 2016-2015:

  0
• Required FY 2015-2014:

  0
• Held FY 2015-2014:

  0

Operations

• Support Staff:

  4
• Shared or Separate:

  Shared
• FY 2019-2018 Budget:

  458035
• FY 2018-2017 Budget:

  389806
• FY 2017-2016 Budget:

  584479
• FY 2016-2015 Budget:

  434307
• FY 2015-2014 Budget:

  556115
• Other Funding Sources:

  n/a
• Spending Authority:

  See budget appropriations

Other

• Government Certificates Issued:

  101567
• Issued Certificate Descriptions:

  "Issued" in this context means that a license was given by the Department
• Government Certificates Revoked:

  93
• Revoked Certificate Descriptions:

  "Revoked" refers to situations where the Department has taken away a previously issued license
• Government Certificates Denied:

  51
• Denied Certificate Descriptions:

  "Denied" refers to both initial license applications that were rejected, along with
• Government Certificates Penalties Against:

  60
• Penalty Certificate Descriptions:

  "Penalties Against" refers to situations when an existing license holder had a license suspended and/or a fine levied against them
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Primarily, Nebraska would lose its authority to monitor the Nebraska insurance industry and remove bad actors. As noted above, insurance producers have access to sensitive personal health and financial information of Nebraska consumers and, as such, must
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Business and Labor
• Occupation Regulated:

  N/A No licensing authority
• Occupational Board:

  Boiler Safety Code Advisory Board
• Contact:

  Chris Cantrell
• Purpose:

  The board shall hold hearings and advise the State Fire Marshal on rules and regulations for methods of testing equipment and construction and installation of new boilers required to be inspected by the Boiler Inspection Act and for inspection and certifi
• Regulated Professionals:

  0
• Year Created:

  1988
• Year Active:

  31
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  81-5,184-81-5,188
• Parent Agency:

  State Fire Marshal

Memberships

• Number of Members:

  7
• Who Appoints:

  Governor
• Legislative Approval:

  Yes
• Qualifications of Members:

  The membership of the board shall consist of one member who represents owners and users of boilers and has experience with boilers, one member who represents sellers of boilers, one member who represents the crafts involved in the construction, repair, or
• Per Diem:

  Yes
• Expense Reimbursement:

  Yes
• Term Length:

  4
• Terms Rotate or Expire at Once:

  Terms Rotate

Meetings

• Required FY 2019-2018:

  1
• Held FY 2019-2018:

  1
• Required FY 2018-2017:

  1
• Held FY 2018-2017:

  1
• Required FY 2017-2016:

  1
• Held FY 2017-2016:

  1
• Required FY 2016-2015:

  1
• Held FY 2016-2015:

  1
• Required FY 2015-2014:

  1
• Held FY 2015-2014:

  1

Operations

• Support Staff:

  1
• Shared or Separate:

  Shared
• FY 2019-2018 Budget:

  521
• FY 2018-2017 Budget:

  398
• FY 2017-2016 Budget:

  417
• FY 2016-2015 Budget:

  446
• FY 2015-2014 Budget:

  390
• Other Funding Sources:

  None
• Spending Authority:

  §81-505.01

Other

• Government Certificates Issued:

  0
• Issued Certificate Descriptions:

  N/A
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  N/A
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  N/A
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  N/A
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Boiler installation and inspection is a very technical field and requires highly trained professionals to ensure that all code requirements are met, so as to ensure the health and safety of the public. The Boiler Safety Code Advisory Board provides input
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Military Teaching Permits
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The Military Teaching Permit is valid for those who do not qualify for a regular teaching certificate but have held certification in another state for at least one year. They must also show evidence of current service in the armed forces of the United States, or evidence of having retired within five years of the date of application. If the applicant for a Military Teaching Permit is the spouse of active or retired military personnel, the applicant must present the same evidence.
• Regulated Professionals:

  28
• Year Created:

  Not available at this time
• Year Active:

  Not available at this time
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2022-2021 Budget:

  635902
• FY 2021-2020 Budget:

  872864
• FY 2020-2019 Budget:

  635902
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  676046

Other

• Government Certificates Issued:

  30
• Issued Certificate Descriptions:

  The Military Teaching Permit is valid for those who do not qualify for a regular teaching certificate but have held certification in another state for at least one year. They must also show evidence of current service in the armed forces of the United States, or evidence of having retired within five years of the date of application. If the applicant for a Military Teaching Permit is the spouse of active or retired military personnel, the applicant must present the same evidence.
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  In the previous five years, a revocation has not been recorded.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  In the previous five years, a denial has not been recorded.
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  In the previous five years, no penalties against have been recorded.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  The Military Teaching Permit allows those who are in Nebraska due to permanent change of station (PCS) orders and who have held a teaching certificate for at least one year in another state to be eligible for a permit in Nebraska. The permit allows for those who have licensure as a teacher in another state and recent military experience (self or spouse) a pathway to licensure in Nebraska.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Transitional Teaching Permits
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The Transitional Teaching Permit is issued to an applicant who have completed at lest 75% of the coursework needed to qualify for an endorsement area.
• Regulated Professionals:

  318
• Year Created:

  Not available at this time
• Year Active:

  Not available at this time
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2022-2021 Budget:

  635902
• FY 2021-2020 Budget:

  872864
• FY 2020-2019 Budget:

  635902
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  676046

Other

• Government Certificates Issued:

  471
• Issued Certificate Descriptions:

  The Transitional Teaching Permit is issued to an applicant who have completed at lest 75% of the coursework needed to qualify for an endorsement area. The permit us only valid in the Nebraska school system requesting the issuance.
• Government Certificates Revoked:

  2
• Revoked Certificate Descriptions:

  Both permits were revoked due to the permit holder having an inappropriate relationship with a student.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  In the previous five years, a denial has not been recorded.
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  In the previous five years, penalties against have not been recorded.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  If the Transitional Permit did not exist, school systems would not be able to hire teachers who have completed 75% of an endorsement area and agree to complete a teacher preparation program to fill a shortage area.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Transitional Teaching Permits
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The Transitional Teaching Permit is issued to an applicant who have completed at lest 75% of the coursework needed to qualify for an endorsement area.
• Regulated Professionals:

  318
• Year Created:

  Not available at this time
• Year Active:

  Not available at this time
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2022-2021 Budget:

  635902
• FY 2021-2020 Budget:

  872864
• FY 2020-2019 Budget:

  635902
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  676046

Other

• Government Certificates Issued:

  471
• Issued Certificate Descriptions:

  The Transitional Teaching Permit is issued to an applicant who have completed at lest 75% of the coursework needed to qualify for an endorsement area. The permit us only valid in the Nebraska school system requesting the issuance.
• Government Certificates Revoked:

  2
• Revoked Certificate Descriptions:

  Both permits were revoked due to the permit holder having an inappropriate relationship with a student.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  In the previous five years, a denial has not been recorded.
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  In the previous five years, penalties against have not been recorded.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  If the Transitional Permit did not exist, school systems would not be able to hire teachers who have completed 75% of an endorsement area and agree to complete a teacher preparation program to fill a shortage area.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Provisional Teaching Permit
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The Provisional Teaching Permit may be issued to applicants who do not meet all of the recent college credit or employment requirements for a regular certificate.
• Regulated Professionals:

  211
• Year Created:

  Not available at this time
• Year Active:

  Not available at this time
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2022-2021 Budget:

  635902
• FY 2021-2020 Budget:

  872864
• FY 2020-2019 Budget:

  635902
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  676046

Other

• Government Certificates Issued:

  265
• Issued Certificate Descriptions:

  The Provisional Teaching Permit may be issued to applicants who do not meet all of the recent college credit or employment requirements for a regular certificate. The permit is valid for two years and expires on August 31 following the year of issuance.
• Government Certificates Revoked:

  2
• Revoked Certificate Descriptions:

  One was revoked due to an action taken by another state and the other permit was revoked due to an inappropriate relationship with a student.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  In the previous five years, a denial has not been recorded.
• Government Certificates Penalties Against:

  2
• Penalty Certificate Descriptions:

  Both provisional permits were suspended for one year because they did not adhere to the terms of their contract.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  Those who do not meet the recency requirement for a regular teaching certificate would not be able to sign a contract if the provisional permit did not exist. Also, applicants who have completed a teacher preparation program in another state but are missing required coursework, such as a special education course, may not be able to sign a contact.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Alternative Program Teaching Permits
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The Alternative Program Teaching Permit is issued to applicants who do not meet all requirements for a regular certificate and is valid for teaching only in the Nebraska school system requesting the issuance of such permit.
• Regulated Professionals:

  296
• Year Created:

  Not available at this time
• Year Active:

  Not available at this time
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2022-2021:

  0
• Held FY 2022-2021:

  0
• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2022-2021 Budget:

  635902
• FY 2021-2020 Budget:

  872864
• FY 2020-2019 Budget:

  635902
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  676046

Other

• Government Certificates Issued:

  327
• Issued Certificate Descriptions:

  The Alternative Program Teaching Permit is issued to applicants who do not meet all requirements for a regular certificate and is valid for teaching only in the Nebraska school system requesting the issuance of such permit.
• Government Certificates Revoked:

  0
• Revoked Certificate Descriptions:

  In the previous five years, a revocation has not been recorded.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  In the previous five years, a denial has not been recorded.
• Government Certificates Penalties Against:

  0
• Penalty Certificate Descriptions:

  In the previous five years, penalties against have not been recorded.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  School systems would not be able to hire teachers who have a bachelor's degree and who meet one of the current pathways provided in Rule 21 and state statute.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Professional Teaching Certificate
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The standard teaching certificate is valid for teaching in all Nebraska school systems, except if requested by the applicant at the time of application, such certificate is valid only in Nebraska nonpublic school systems. The standard teaching certificate expires August 31 in the tenth year following the year of issuance or renewal.
• Regulated Professionals:

  10377
• Year Created:

  1937
• Year Active:

  1937
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2021-2020 Budget:

  635902
• FY 2020-2019 Budget:

  589635
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• FY 2017-2016 Budget:

  591651
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  877995

Other

• Government Certificates Issued:

  5510
• Issued Certificate Descriptions:

  The professional teaching certificate is valid for teaching in all Nebraska school systems, except if requested by the applicant at the time of application, such certificate is valid only in Nebraska nonpublic school systems. An individual possessing this certificate type must be eligible to hold or have held an standard teaching certificate, taught half-time or more for a minimum of two consecutive school years and have earned a Master's degree within the past ten years.
• Government Certificates Revoked:

  6
• Revoked Certificate Descriptions:

  The revocations range from a two year revocation to permanent revocation for a wide ranging level of activity. The activities that led to revocation include but are not limited to a violation of school district policy to criminal activity.
• Government Certificates Denied:

  1
• Denied Certificate Descriptions:

  An application can be denied if someone does not disclosed required information such as a prior conviction or loss of license in another state or agency.
• Government Certificates Penalties Against:

  10
• Penalty Certificate Descriptions:

  The penalties range from a public reprimand at the minimum to a one-year suspension.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  If the professional teaching certificate was not available, there would not be a way to determine when someone with a teaching certificate has teaching experience and a qualifying advanced degree.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Standard Teaching Certificates
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The standard teaching certificate is valid for teaching in all Nebraska school systems, except if requested by the applicant at the time of application, such certificate is valid only in Nebraska nonpublic school systems. The standard teaching certificate expires August 31 in the fifth year following the year of issuance or renewal.
• Regulated Professionals:

  22476
• Year Created:

  1937
• Year Active:

  1937
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2021-2020 Budget:

  635902
• FY 2020-2019 Budget:

  589635
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• FY 2017-2016 Budget:

  591651
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  877995

Other

• Government Certificates Issued:

  22476
• Issued Certificate Descriptions:

  The standard teaching certificate is valid for teaching in all Nebraska school systems, except if requested by the applicant at the time of application, such certificate is valid only in Nebraska nonpublic school systems. An individual possessing this certificate type must be eligible to hold or have held an initial teaching certificate and taught half-time or more for a minimum of two consecutive school years while holding a regular certificate.
• Government Certificates Revoked:

  29
• Revoked Certificate Descriptions:

  The revocations range from a two year revocation to permanent revocation for a wide ranging level of activity. The activities that led to revocation include but are not limited to a violation of school district policy to criminal activity.
• Government Certificates Denied:

  0
• Denied Certificate Descriptions:

  No one who held a standard teaching certificate had an application that was denied.
• Government Certificates Penalties Against:

  10
• Penalty Certificate Descriptions:

  The penalties range from a public reprimand at the minimum to a one-year suspension.
• Explanation of Effectiveness:

  Explanation PDF
• Potential Harm

  If the standard teaching certificate was not available, there would not be a way to determine when someone with a teaching certificate has teaching experience.
• Regulation Comparison:

  Comparison PDF
• Subject to Regulations of Act(LB407):

  No

General Information

• Committee of Jurisdiction:

  Education
• Occupation Regulated:

  Initial Teaching Certificate
• Occupational Board:

  Nebraska Department of Education
• Contact:

  Clayton Waddle
• Purpose:

  The Initial teaching certificate is valid for teaching in all Nebraska school systems, except if requested by the applicant at the time of application, such certificate is valid only in Nebraska nonpublic school systems. The initial teaching certificate expires August 31 in the fifth year following the year of issuance or renewal.
• Regulated Professionals:

  9257
• Year Created:

  1937
• Year Active:

  1937
• Sunset Date:

  None

Authorization

• Statutory Authorization:

  79-808; 92 Neb. Admin. Code Chap. 21, § 005
• Parent Agency:

Memberships

• Number of Members:
• Who Appoints:
• Legislative Approval:
• Qualifications of Members:
• Per Diem:
• Expense Reimbursement:
• Term Length:
• Terms Rotate or Expire at Once:

Meetings

• Required FY 2021-2020:

  0
• Held FY 2021-2020:

  0
• Required FY 2020-2019:

  0
• Held FY 2020-2019:

  0
• Required FY 2019-2018:

  0
• Held FY 2019-2018:

  0
• Required FY 2018-2017:

  0
• Held FY 2018-2017:

  0
• Required FY 2017-2016:

  0
• Held FY 2017-2016:

  0

Operations

• Support Staff:

  5
• Shared or Separate:

  Shared (The budget accounts for all certification activities.)
• FY 2021-2020 Budget:

  635902
• FY 2020-2019 Budget:

  589635
• FY 2019-2018 Budget:

  603883
• FY 2018-2017 Budget:

  619938
• FY 2017-2016 Budget:

  591651
• Other Funding Sources:

  Educator Certification is self funded by fees.
• Spending Authority:

  877995