Registered Securities Principal For A Non-NASD Firm - Applicant Certification
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Registered Securities Principal For A Non-NASD Firm - Applicant Certification Form. This is a Oklahoma form and can be use in Blue Sky Secretary Of State.
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Tags: Registered Securities Principal For A Non-NASD Firm - Applicant Certification, OBD001, Oklahoma Secretary Of State, Blue Sky
REGISTERED SECURITIES PRINCIPAL
for a Non-NASD firm
APPLICANT CERTIFICATION
I,
, CRD number
application to register as a principal of
, in connection with my
, hereby certify to the
Administrator of the Oklahoma Department of Securities that:
1. I have carefully reviewed the Oklahoma Uniform Securities Act of 2004, 71 O.S., ยงยง 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 registered in the State of
Oklahoma; and
2. All information concerning myself as filed on the Form U-4 with the Central Registration
Depository (CRD) or as filed on the Form U-4 directly with the Administrator 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 respect.
Dated this
day of
, 20
.
......................................................
STATE OF )
.................................................. ) SS
COUNTY OF )
Subscribed and sworn before me this
(Signature)
day of
, 20
.
Notary Public
My Commission Expires:
MANAGEMENT CERTIFICATION
I,
, an officer, director, partner or sole proprietor of
, hereby certify to
the Administrator of the Oklahoma Department of Securities that the above applicant for registration as
a principal has been provided adequate instruction with respect to his/her responsibilities under the
Oklahoma Securities Act of 2004, and the rules and regulations.
Dated this
day of
, 20
.
(Signature)
......................................................
STATE OF )
.................................................. ) SS
COUNTY OF)
Subscribed and sworn before me this
My Commission Expires:
(Title)
day of
, 20
.
Notary Public
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