Beginning January/February 2004, the Department began
requiring Broker-Dealers to complete an annual
Examination Questionnaire for each Non-Branch Sales
Office located in Oklahoma. The firm's
compliance department will be required to complete
the questionnaire every 12 months, indicating activity
at each office for the previous period.
If an office closes prior to the 12 month
anniversary, a questionnaire should be completed for the
time period the office was open. A questionnaire
must be completed for each Non-Branch Sales Office filed
with the Department. The questionnaire will be
available on-line via a link from the following page.
Questions or comments can be sent to the