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The Financial Industry Regulatory Authority (FINRA), formerly NASD, provides a mechanism for investors to obtain information about FINRA member broker-dealers and their agents.

FINRA Broker Check

U.S. Securities and Exchange Commission's Logo

The U.S Securities and Exchange Commission's (SEC) Public Disclosure Program provides investors access to information about an investment adviser, its business operations, and certain disciplinary events. 

Investment Adviser Public Disclosure

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) Logo

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. 

For information concerning suspension of License for noncompliance of OK state income tax laws, contact the Oklahoma Tax Commission at (405) 522-6800.

- Oklahoma will submit this request to the WebCRD, on your behalf. These custom reports range in price from $120 to $480 each.

E&O Policies and Cyber Security P&Ps Required Nov 1, 2020
Order Nunc Pro Tunc
Electronic Attestation of Compliance Form
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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