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Advisories For Firms/Professionals

 
Notice to State Registered Investment Advisers RE: Form CRS ... 6/19/2020
The previously issued notice by the Oklahoma Securities Department regarding a requirement to include the Form CRS Relationship Summary as a part of the required Form ADV filing has been withdrawn, effective immediately. 
Phishing Campaign Advisory ... 5/5/2020
This message is to advise you that the Oklahoma Department of Securities has been notified of a new phishing campaign targeting broker-dealers and investment advisers impersonating FINRA executives and using the domain @broker-finra.org. This is not a FINRA domain...