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-dealer Firms:
		Form BD - Expires 11/30/2010 (.pdf)
		Nonbranch Sales Offices Form (Electronic)
		Applicant/Management Certification Form - Registered Securities Principal for Non-FINRA firm (.pdf)
	Investment Adviser Firms:
		Form ADV (paper version) - redirects to sec.gov       - 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
	BD Agents, Issuer Agents and IA Representatives:
		Form U-4 - Revised 5/2009 (.pdf) - redirects to FINRA.org
		Form U-4 Instructions - Revised 5/2009 (.pdf) - redirects to FINRA.org
		Form U-5 - Revised 05/2009 (.pdf) - redirects to FINRA.org
		Form U-5 Instructions - Revised 5/2009 (.pdf) - redirects to FINRA.org
		Applicant/Management Certification Form (.pdf)

 

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 (.pdf)
		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