Request For Record Inspection

Name*
Street
City State Zip*  
E-Mail* Daytime Phone
* indicates a required field 

RECORD REQUESTED: Please provide a specific description of the record(s) you are requesting.  If you are requesting information on Broker-dealers, Agents, Investment Advisers, or Investment Adviser Representatives, please use the CRD Record Inspection form.

Record Title, Case Reference#, Description, Entity, Date, etc.
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Description or Purpose of this Request: 

Charges that may apply: 

  • For printed pages there is a $0.25 per page copy fee pursuant to section 1-612 of the Oklahoma Uniform Securities Act of 2004 (OUSA of 2004)
  • Requests that are determined to be for commercial purposes will be charged a research fee of $20.00 per hour.  This fee is in addition to the copy fee above.  Payment for commercial purpose requests is due prior to the work being performed.
  • Information that will satisfy a request that is available in an electronic format and can be transmitted via e-mail, may not incur the above stated copy fee.  Examples would include WebCRD firm and individual snapshot requests.
You will be notified, in advance, of charges to be incurred.