Okla. Admin. Code § 660:6-5-2

Current through Vol. 42, No. 7, December 16, 2024

Section 660:6-5-2 - Forms for securities industry registration

(a)Forms. The following is a list of forms used by the Department in connection with registering persons as broker-dealers, agents, non-FINRA principals, issuer agents, investment advisers or investment adviser representatives, under the Securities Act:

(1) BD -- Uniform Application for Broker-Dealer Registration

(2) BDW -- Uniform Request for Broker-Dealer Withdrawal

(3) ADV -- Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers

(4) ADV-W -- Uniform Application for Investment Adviser Withdrawal

(5) U-2 -- Uniform Consent to Service of Process

(6) U-2A -- Uniform Form of Corporate Resolution

(7) U4 -- Uniform Application for Securities Industry Registration or Transfer

(8) U5 -- Uniform Termination Notice for Securities Industry Registration

(9) U10 -- Uniform Examination Request for Non-FINRA Candidates

(10) OBD-001 -- Applicant Management Certification for Non-FINRA Principals

(11) OBD-008 -- Application for Renewal of Non-FINRA Broker-Dealer Registration

(12) OBD-016 -- Application for Renewal of Non-FINRA Broker-Dealer Principal Registration

(13) OBD-018 -- Applicant/Management Certification for Issuer Agents

(14) OBD-019 -- Application for Renewal of Non-FINRA Broker-Dealer Agent Registration

(b)Obtaining forms. The referenced forms are available on the Department's website at http://www.securities.ok.gov/.

Okla. Admin. Code § 660:6-5-2

Amended at 9 Ok Reg 2993, eff 7-15-92; Amended at 15 Ok Reg 3416, eff 7-15-98; Amended at 21 Ok Reg 2496, eff 7-1-04

Amended by Oklahoma Register, Volume 37, Issue 24, September 1, 2020, eff. 11/1/2020