- Regulation Best Interest Disclosure
- BOK Financial Securities Inc. Form CRS
Securities, insurance and advisory services offered through BOK Financial Securities, Inc., member FINRA/SIPC and a subsidiary of BOK Financial Corporation. Services may be offered under our trade name, BOK Financial Advisors. NOT FDIC INSURED | NO BANK GUARANTEE | MAY LOSE VALUE. www.finra.org
NOT FDIC INSURED | NO BANK GUARANTEE | MAY LOSE VALUE
Cavanal Hill Investment Management, Inc., a wholly owned subsidiary of BOKF, NA, provides investment advice and administrative services to the Cavanal Hill Funds and receives a fee for its services. BOKF, NA provides custodial services to the Cavanal Hill Funds and receives a fee for its services.
BOKFS' Business Resumption Plan has been developed in order to respond and recover should a disaster occur at one or more of our offices. The plan is designed for all of our business units to be able to resume business with the least amount of interruption to the many valuable services, which we provide to our customers.
Our plan outlines the actions BOKFS will take in the event of a building, city-wide, or regional incident, including relocating technology and operational personnel to pre-assigned alternate regional facilities. Technology data processing can also be switched to an alternate regional data center.
All BOKFS operational facilities are equipped for resumption of business and are regularly tested. Our recovery time objective for business resumption, including those involving a relocation of personnel or technology, is typically three (3) business days. This recovery objective may be negatively affected by the unavailability of external resources and circumstances beyond our control.
In the event of a significant business interruption, customers may call the toll-free contact numbers listed on our website, securities.bokfinancial.com
BOK Financial Securities, Inc. is an affiliate of BOKF, NA
InsureRate is not an affiliate of BOKF, NA, BOK Financial Securities Inc. or any of their affiliates.
SEC Rule 606 Reports
These reports (the Reports) are pursuant to Securities and Exchange Commission Rule 606, which requires all broker-dealers to make publicly available quarterly reports on their order routing practices. The Reports provide information on BOKFS' routing of non-directed orders, which are orders that customers have not specifically instructed to be routed to a particular venue for execution. Click here to access the SEC's final adopting release, along with the text of Rule 606 and here for the SEC's Frequently Asked Questions about Rule 606.
The link provides required information on BOKFS' order flows for orders by customers whose accounts are carried by Pershing, LLC.