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Registered Securities Principal For A Non-NASD Firm - Applicant Certification OBD001 - Oklahoma
| Registered Securities Principal For A Non-NASD Firm - Applicant Certification Form. This is a Oklahoma form and can be used in Securities Blue Sky Secretary Of State . |
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REGISTERED SECURITIES PRINCIPAL for a Non-NASD firm APPLICANT CERTIFICATION I, , CRD number , in connection with my application to register as a principal of , hereby certify to the Administrator of the Oklahoma Department of Securities that: 1. I have carefully reviewed the Oklahoma Uniform Securities Act of 2004, 7 1 O.S., 1-101 through 1-701, as well as the rules and regulations adopted thereto, and I fully understand my responsibilities thereunder as a registered principal, including but not limited to, my responsibility for the supervision of all agents of said broker-dealer who are register ed in the State of Oklahoma; and 2. All information concerning myself as filed on the Form U-4 with the Cent ral Registration Depository (CRD) or as filed on the Form U-4 directly with the Adminis trator of the Oklahoma Department of securities is true and correct and a correcting amendment shall be promptly filed when such information becomes inaccurate or incomplete in any material r espect. Dated this day of , 20 . ...................................................... (Signature) STATE OF ) ..................................................) SS COUNTY OF ) Subscribed and sworn before me this day of , 20 . Notary Public My Commission Expires: MANAGEMENT CERTIFICATION I, , an officer, director, partner or sole proprietor of , hereby certify tothe Administrator of the Oklahoma Department of Securities that the abov e applicant for registration as a principal has been provided adequate instruction with respect to his/h er responsibilities under the Oklahoma Securities Act of 2004, and the rules and regulations. Dated this day of , 20 . (Signature) ...................................................... STATE OF) (Title) ..................................................) SS COUNTY OF ) Subscribed and sworn before me this day of , 20 . Notary Public My Commission Expires: American LegalNet, Inc. www.USCourtForms.com
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