Investment Company Notice Submissions Search


This page allows for the viewing and printing of acknowledgment letters for Investment Company notice filings with the Department.

Use this form to:

  • confirm the receipt of an initial or renewal notice submitted to the Department;
  • obtain an acknowledgment of that receipt, and;
  • learn the receipt date and OK File # associated with that submission.

Firm Name   Begins With
Initial Filing
Renewal Filing

Historical Information Search

This search will produce all currently effective IC Notice submissions by the chosen search method. From there, filers can research previous submissions for a particular Issuer, Fund or class of funds to ascertain historical information.
Search by Correspondent Firm Name Begins With
Search by Fund/Issuer Name
  Level 1   
Level 2
Search by File # SE-   

Have a question about a notice filing? contact at (405) 280-7748