The Financial Industry Regulatory Authority (FINRA), formerly NASD, provides a mechanism for investors to obtain information about FINRA member broker-dealers and their agents.

FINRA Broker Check

The U.S Securities and Exchange Commission's (SEC) Public Disclosure Program provides investors access to information about an investment adviser, its business operations, and certain disciplinary events.

Investment Adviser Search

Arbitration and Dispute Resolution - FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms, and individual registered representative.

The Securities Investor Protection Corporation (SIPC), created by the Securities Investor Protection Act (15 U.S.C. §78aaa et seq., as amended), is neither a government agency nor a regulatory authority. It is a nonprofit, membership corporation, funded by its member securities broker-dealers.

For information concerning suspension of License for noncompliance of OK state income tax laws, contact Troy or Darla at the Oklahoma Tax Commission (405) 522-6800.

NOTICE: Firms that are members of the Financial Industry Regulatory Authority (FINRA) are asked not to submit Audited Financial Statements to the Department These are no longer required as a post-registration reporting requirement. Audited Financial Statements are only required for Non-FINRA member firms.

Search our Database for a Firm, Agent, or Representative.

Obtain a report or list of Investment Adviser Firms and Representatives or Broker-Dealer Firms and Agents licensed to operate in Oklahoma. Several options to choose from.

Oil & Gas Professional Exemption:
Administrative Order exempting from investment adviser registration requirements certain professionals engaged in the business of exploring for and/or producing oil and gas or other valuable minerals as an ongoing business only when giving advice, analyses, interpretations or reports that relate to interests in oil, gas, or other mineral leases. - 11/16/2004

Issuer Agent Exemption:
Administrative Order exempting individuals from issuer agent registration requirements for a private offering who do not receive transaction-based compensation and who do not have disciplinary history during the past 5 years. - 08/19/2004

Administrative order modifying the submission requirements for NASD member broker-dealers. - June 14, 2001

Administrative Order exempting individuals from issuer agent registration requirements for a private offering who do not receive transaction-based compensation and who do not have disciplinary history during the past 5 years. - 08/19/2004

The National Securities Market Improvement Act of 1996 (NSMIA) Effective July 8, 1997 - Implementation of NSMIA as to Investment Advisory Services in Oklahoma.

This page was last edited on: 10/02/2007