Oklahoma Form BD

Name: Oklahoma Form BD
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.8 (204 reviews)

Category:

Oklahoma Secretary of State - Blue Sky - Securities

State:

Oklahoma

Control #:

OK-SKU-0211

Format:

Instant download

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Public form

Description

Form BD Oklahoma Form BD is a type of form used by the Oklahoma Securities Commission to review registration applications for individuals or entities wishing to offer securities in Oklahoma. It is also known as a Uniform Application for Broker-Dealer Registration. The form is used by broker-dealers, investment advisers, and issuers to register their businesses in the state of Oklahoma. There are three types of Oklahoma Form BD: Form BD-N, Form BD-W, and Form BD-IA. Form BD-N is used to register broker-dealers doing business in Oklahoma. Form BD-W is used to register broker-dealers operating in multiple states (including Oklahoma). Form BD-IA is used to register investment advisers doing business in Oklahoma.

Oklahoma Form BD is a type of form used by the Oklahoma Securities Commission to review registration applications for individuals or entities wishing to offer securities in Oklahoma. It is also known as a Uniform Application for Broker-Dealer Registration. The form is used by broker-dealers, investment advisers, and issuers to register their businesses in the state of Oklahoma. There are three types of Oklahoma Form BD: Form BD-N, Form BD-W, and Form BD-IA. Form BD-N is used to register broker-dealers doing business in Oklahoma. Form BD-W is used to register broker-dealers operating in multiple states (including Oklahoma). Form BD-IA is used to register investment advisers doing business in Oklahoma.

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FAQ

The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business.

Broker-Dealers must file Form BD through the Central Registration Depository (CRD) system, operated by the Financial Industry Regulatory Authority (FINRA).

However, once a securities regulator has approved a Form U4 filing, this will become a public record accessible via the Investment Adviser Public Disclosure (?IAPD?) website.

The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business.

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

The initial Hard Copy Form BD must bear an original signature on behalf of the Applicant (mechanical reproductions are not acceptable) and the signature date field must reflect a complete month, day and year.

More info

A full paper Form BD is required when the applicant is filing with the CRD for the first time. Ensure that the date field reflects a complete date (month, day, and year).Checkbox, Has the Form BD been originally and properly notarized? Form BD should be completed in accordance with the form instructions. Form BD is the Uniform Application for Broker-Dealer Registration. (a) This form shall be used for application for registration as a broker-dealer under the Securities Exchange Act of 1934, or to amend such application. The first step in applying for a U.S. nonimmigrant visa is to complete your application. Guidelines for Completing the Form DS-160; More Information. Overview. Each applicant, including children, must have their own Form DS-160 visa application. 4 Form NMA is organized according to the twelve standards for FINRA.

Oklahoma Form BD

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