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Industry Firms & Professionals
  Broker-dealer Firms:
  Form BD - Expires 8/31/2019 (.pdf)
    Nonbranch Sales Offices Form (Electronic)
  Applicant/Management Certification Form - Registered Securities Principal for Non-FINRA firm (.pdf)
  Investment Adviser Firms:
  Form ADV (paper version) - redirects to sec.gov
      - Instructions & Glossary
      - Part 1A (Including Schedules A, B, C, D & DRP's)
      - Part 1B (state-registered advisers only)
      - Part II (including Schedules F, G, and H)
      - Execution Pages
  BD Agents, Issuer Agents and IA Representatives:
  Form U-4 - Revised 5/2009 (.pdf) - redirects to FINRA.org
  Form U-4 Instructions - Revised 5/2009 (.pdf) - redirects to FINRA.org
  Form U-5 - Revised 05/2009 (.pdf) - redirects to FINRA.org
  Form U-5 Instructions - Revised 5/2009 (.pdf) - redirects to FINRA.org
  Applicant/Management Certification Form (.pdf)
 
Corporate Finance
Form NF Uniform Investment Company Notice Filing (.pdf)
Form U-1 Uniform Application to Register Securities (.pdf)
Form U-2, U-2A, & Instructions Uniform Consent to Service of Process (.pdf)
Consent to Service of Process - Business Opportunity (ORD-01 8/99)
Form U-7 Small Company Offering Registration Form (.pdf)
Notice of Sales of Securities under Regulation D and Section 4(6) of the Securities Act of 1933 (.pdf)
Form USR-1 Investment Company Report of Sales (.pdf)
Oklahoma Accredited Investor Exemption Supplemental Information Form (.pdf)
  Subdivided Land Sales:
  Application for Subdivision Registration (.pdf)
  Public Offering Statement - Instruction Guide (.pdf)
  Summary Disclosure Statement (.pdf)
  Application for License for Subdivided Land Sales Agent (.pdf)
 
Miscellaneous
  General Request for Record Inspection - Electronic - Revised 11/12/2004
  CRD Record Request - Electronic - Revised 8/7/2009
  Enforcement Complaint Form