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Advisories For Firms/Professionals

 
FINRA Phishing Email Advisory ... 10/5/2020
FINRA has issued an alert that their member firms are receiving phishing emails purporting to be from FINRA requesting survey responses. Please see Regulatory Notice 20-35 - “FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey” accessible through the following link: https://www.finra.org/rules-guidance/notices/20-35.
Notice to State Registered Investment Advisers RE: E&O Policies and Cybersecurity P&Ps Required Nov 1, 2020 ... 9/18/2020
Effective November 1, 2020, all investment advisers applying for registration under the Oklahoma Uniform Securities Act of 2004 and all investment advisers registered under the Act are required to maintain an errors and omissions insurance policy in compliance with 660:11-7-21 of the Rules of the Oklahoma Securities Commission and the Administrator of the Department of Securities (effective November 1, 2020). 
Notice to State Registered Investment Advisers RE: Form CRS ... 6/19/2020
The previously issued notice by the Oklahoma Securities Department regarding a requirement to include the Form CRS Relationship Summary as a part of the required Form ADV filing has been withdrawn, effective immediately. 
Phishing Campaign Advisory ... 5/5/2020
This message is to advise you that the Oklahoma Department of Securities has been notified of a new phishing campaign targeting broker-dealers and investment advisers impersonating FINRA executives and using the domain @broker-finra.org. This is not a FINRA domain...