General Record Request

If you are requesting information on a Broker-dealer, Agent, Investment Adviser, or Investment Adviser Representative, please use the CRD Records Request form.
* Name
* Street
* City * State   * Zip  
* E-Mail * Daytime Phone   () -
* indicates a required field 
Record Title, Case Reference#, Description, Entity, Date, etc.
Description or Purpose of this Request: 
Charges that may apply: 
  • For printed pages there is a $0.25 per page copy fee pursuant to section 1-612 of the Oklahoma Uniform Securities Act of 2004 (OUSA of 2004)
  • Requests that are determined to be for commercial purposes will be charged a research fee of $20.00 per hour.  This fee is in addition to the copy fee above.  Payment for commercial purpose requests is due prior to the work being performed.
  • Information that will satisfy a request that is available in an electronic format and can be transmitted via e-mail, may not incur the above stated copy fee.  Examples would include WebCRD firm and individual snapshot requests.
You will be notified, in advance, of charges to be incurred.