Non-Branch Sales Office

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  • Each firm's compliance department will be issued one password;
  • Passwords will only be provided to the contact person of record.
    ***  Please Read Carefully ***

    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 .