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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.
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For information concerning suspension of License for
noncompliance of OK state income tax laws,
contact the Oklahoma Tax Commission at (405)
522-6800. |
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The
National Securities Market Improvement Act of 1996 (NSMIA) |
Effective July 8, 1997 -
Implementation of NSMIA as to Investment
Advisory Services in Oklahoma.
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