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. |
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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. |
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.
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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
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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
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