Beginning January/February 2004, the Department began requiring Broker-Dealers to complete an annual
Examination Questionnaire for each Non-Branch Sales Office located in Oklahoma. The firm's compliance department will
be required to complete the questionnaire every 12 months, indicating activity at each office for the previous period.
If an office closes prior to the 12 month anniversary, a
questionnaire should be completed for the time period the office was
open. A questionnaire must be completed for each Non-Branch Sales
Office filed with the Department. The questionnaire will be
available on-line via a link from the following page. Questions or comments can be sent to the