Investment Company Notice Submissions

The web-based Investment Company Notice Acknowledgment Process allows companies to view and/or print:

  1. an acknowledgment letter for each Investment Company notice received or,
  2. a single acknowledgment letter for a batch of notices, grouped by the month received. 
Firm Name   Begins With
Initial Filing
Renewal Filing

This process was implemented in October, 2000 and has eliminated the Department's need to print and mail hardcopy acknowledgment letters to filers.

Use this form to:

  • confirm the receipt of an initial or renewal notice submitted to the Department;
  • obtain an acknowledgment of that receipt, and;
  • learn the receipt date and OK File # associated with that submission.

Historical Information Search

This search will produce all currently effective IC Notice submissions by the chosen search method. From there, filers can research previous submissions for a particular Issuer, Fund or class of funds to ascertain historical information.
Search by Correspondent Firm Name Begins With
Search by Fund/Issuer Name
  Level 1
  Level 2
Search by File # SE-   

Have a question about a notice filing? contact at (405) 280-7748
Have a technical question or suggestion regarding this site? e-mail the
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