1. (a) Forms. The following is a list of forms used by the Department in connection with registering persons as broker-dealers, agents, non-FINRA principals, issuer agents, investment advisers or investment adviser representatives, under the Securities Act:

   1. (1) BD -- Uniform Application for Broker-Dealer Registration
   2. (2) BDW -- Uniform Request for Broker-Dealer Withdrawal
   3. (3) ADV -- Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers
   4. (4) ADV-W -- Uniform Application for Investment Adviser Withdrawal
   5. (5) U-2 -- Uniform Consent to Service of Process
   6. (6) U-2A -- Uniform Form of Corporate Resolution
   7. (7) U4 -- Uniform Application for Securities Industry Registration or Transfer
   8. (8) U5 -- Uniform Termination Notice for Securities Industry Registration
   9. (9) Form BR – Uniform Branch Office Registration Form
   10. (10) Applicant Management Certification for Non-FINRA Principals
   11. (11) Application for Renewal of Non-FINRA Broker-Dealer Registration
   12. (12) Application for Renewal of Non-FINRA Broker-Dealer Principal Registration
   13. (13) Applicant/Management Certification for Issuer Agents
   14. (14) Application for Renewal of Non-FINRA Broker-Dealer Agent Registration
   15. (15) Personal Financial Statement
2. (b) Obtaining forms. The referenced forms are available on the Department's website at http://www.securities.ok.gov/.

Amended at 9 Ok Reg 2993, eff 7-15-92

Amended at 15 Ok Reg 3416, eff 7-15-98

Amended at 21 Ok Reg 2496, eff 7-1-04

Amended at 37 Ok Reg 2193, eff 11-1-20

Amended at 42 Ok Reg, Number 20, effective 8-15-25