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Errors and Omissions Coverage - Electronic Attestation of Compliance Form

 

Every investment adviser registered under the Oklahoma Uniform Securities Act of 2004, Okla. Stat. tit. 71, 1-101 through 1-701, is required to submit this Electronic Attestation of Compliance Form each year within 90 days of the end of its fiscal year as proof that it maintains an errors and omissions insurance policy meeting the requirements of 660:11-7-11(a)(2)(C) of the Rules of the Oklahoma Securities Commission and the Administrator of the Oklahoma Department of Securities, Okla. Admin. Code 660:1-1-1 through 660:25-7-1. (See Rules 660:11-7-21 and 660:11-7-31.)

 

Before you begin, you will need the following documents to complete the process: A Certificate of Liability Coverage OR a Policy Declaration Page.

 


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