Industry Firms or Professionals

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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

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), 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.
Order Form - Ad Hoc Report Request for Oklahoma to submit to the Central Registration Depository (CRD). These reports range in price from $120 to $480 each.
Firm or Individual Search
Oil & Gas Professional Exclusion
Administrative Order excluding from definition of "investment adviser" certain professionals engaged in the business of exploring for and/or producing oil and gas or other valuable minerals as an ongoing business - 11/16/2004
Issuer Agent Exemptions
Administrative Orders exempting individuals from issuer agent registration requirements for effecting transactions:
Modification to Post-registration filing requirements for FINRA members:
Administrative order modifying the submission requirements for FINRA member broker-dealers. - June 14, 2001
The National Securities Market Improvement Act of 1996 (NSMIA)
Effective July 8, 1997 - Implementation of NSMIA as to Investment Advisory Services in Oklahoma.
Firms that are members of the Financial Industry Regulatory Authority (FINRA) are asked not to submit Audited Financial Statements to the Department as these are no longer required as a post-registration reporting requirement.  Audited Financial Statements are only required for Non-FINRA member firms.