Several of the following forms, designated by , are formatted using Adobe Acrobat.  If you have trouble viewing one of these files, download a free copy of the Acrobat Reader at "Get Acrobat Reader".

Industry Firms & Professionals
	Broker-dealers:
		Nonbranch Sales Offices Form (Electronic)
		Applicant/Management Certification Form - Registered Securities Principal for Non-FINRA firm
	Investment Advisers:
		Form ADV (paper version) - redirects to sec.gov or nasaa.org in new window
		Instructions & Glossary
		Part 1A (Including Schedules A, B, C, D & DRP's)
		Part 1B (state-registered advisers only)
		Part II (including Schedules F, G, and H)
		Execution Pages
		Form U-4 - Revised 10/2005 (2,530k - .pdf)
		Form U-4 Instructions - Revised 10/2005 (247k - .pdf)
		Form U-5 - effective 03/18/2002 (746k - .pdf)
		Form U-5 Instructions
	Issuer Agents:
		Form U-4 - Revised 10/2005 (2,530k - .pdf)
		Form U-4 Instructions - Revised 10/2005 (247k - .pdf)
		Applicant/Management Certification Form

 

Corporate Finance
		Form NF Uniform Investment Company Notice Filing (.pdf)
		Form U-1 Uniform Application to Register Securities (.pdf)
		Form U-2, U-2A, & Instructions Uniform Consent to Service of Process (.pdf)
		Consent to Service of Process - Business Opportunity (ORD-01 8/99)
		Form U-7 Small Company Offering Registration Form (.pdf)
		Notice of Sales of Securities under Regulation D and Section 4(6) of the Securities Act of 1933 (.pdf)
		Form USR-1 Investment Company Report of Sales
		Oklahoma Accredited Investor Exemption Supplemental Information Form (.pdf)
	Subdivided Land Sales:
		Application for Subdivision Registration (.pdf)
		Public Offering Statement - Instruction Guide (.pdf)
		Summary Disclosure Statement (.pdf)
		Application for License for Subdivided Land Sales Agent (.pdf)

 

Miscellaneous
	General Request for Record Inspection - Electronic - Revised 11/12/2004
	CRD Record Request - Electronic - Revised 8/7/2009
	Enforcement Complaint Form