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Oklahoma Administrative Code (Last Updated: March 11, 2021) |
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TITLE 660. Department of Securities |
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Chapter 6. Forms |
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Subchapter 5. Forms Used Under the Securities Act |
SECTION 660:6-5-2. Licensing forms
Latest version.
- (a) The following is a list of forms used by the Department in connection with licensing persons as broker-dealers, agents, principals, issuer agents, investment advisers or investment adviser representatives, under the Securities Act:(1) BD -- Uniform Application for Broker-Dealers, Investment Advisers and Agents(2) ADV -- Uniform Application for Investment Adviser Registration(3) U-2 -- Uniform Consent to Service of Process(4) U-2A -- Uniform Form of Corporate Resolution(5) U-4 -- Uniform Application for Securities Industry Registration or Transfer(6) U-5 -- Uniform Application for Termination of Registration(7) U-10 -- Uniform Examination Request for Non-NASD Candidates(8) OBD-001 -- Applicant/Management Certification for Non-NASD Principals(9) OBD-008 -- Application for Renewal of Non-NASD Broker-Dealer Registration(10) OBD-015 -- Application for Renewal of Issuer Agent Registration(11) OBD-016 -- Application for Renewal of Non-NASD Broker-Dealer Principal Registration(12) OBD-018 -- Applicant/Management Certification for Issuer Agents(13) OBD-019 -- Application for Renewal of Non-NASD Broker-Dealer Agent Registration(14) OBD-020 -- NonBranch Sales Office Form(b) Obtaining forms.(1) Copies of the forms listed in (a)(1) and (2) of this Section, can be obtained from the SEC, 450 5th Street, N.W., Washington, D.C. 20549 or from any of the regional or branch offices of the SEC.(2) Copies of the forms listed in (a)(1), (5) and (6) of this Section, can be obtained by contacting the NASD, 9509 Key West Avenue, Rockville, Maryland 20850, 301-590-6500.(3) Copies of forms listed in (a)(3) through (7) of this Section, can be obtained from The North American Securities Administrators Association, Inc. at 10 G Street, Northeast, Suite 710, Washington, D.C. 20002.(4) Copies of forms listed in (a)(8) through (14) of this Section, can be obtained from the Department.(5) Many of the referenced forms are available from the Department's website at www.securities.state.ok.us.