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Errors and Omissions Coverage - Electronic Attestation of Compliance Form

 

660:11-7-21 of the Rules of the Oklahoma Securities Commission and the Administrator of the Oklahoma Department of Securities (the “Rules”), Okla. Admin. Code 660:1-1-1 through 660:25-7-1, requires investment advisers to submit either a copy of a certificate of liability coverage or attest to compliance with the requirements of the rule and provide a copy of their declaration page showing coverage.

Before you begin, you will need the following documents to complete the process: A Certificate of Liability Coverage OR the Name of the Insurer, Policy Number, Name of Insured, and Date of Policy Period.

 


 
Please type the Firm Name and IARD Number as they appear on the most current Form ADV filed with FINRA.
Firm Name *
Firm IARD *