reglab/statecodes huggingface dataset:
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 7 - Investigations › Section 660:2-7-9 - Termination of investigation

Current through Vol. 41, No. 20, July 1, 2024
Upon completion of investigation, where the facts indicate
				  that no corrective action by the Administrator is warranted, the investigative
				  files shall be closed, without prejudice to reopening. Where remedial action is
				  appropriate, the files may be referred for the initiation of administrative or
				  civil proceedings, or other disposition as may be permitted under law. At any
				  time during or after completion of an investigation, a matter may be referred
				  to a law enforcement agency or another governmental or regulatory
				  entity.
Amended at 15 Ok Reg
				  3411, eff 7-15-98; Amended at 21 Ok Reg 2489, eff
				  7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-1 - Hearings in general

Current through Vol. 41, No. 20, July 1, 2024
(a)
Authority.
Prior to the issuance of a final order in an individual
				proceeding, all parties shall be afforded an opportunity for hearing after
				reasonable notice. The notice shall be in writing and advise the parties of
				their right to a hearing and their obligation to file an answer, the time
				period within which a hearing must be requested, and the effect of a failure to
				file an answer and to request a hearing.
(b)
Public hearing.
All hearings
				shall be open to the public but may not be recorded by the public or any
				respondent by any electronic means.
(c)
Hearings on summary orders.
The provisions of this Subchapter shall not apply to proceedings for summary
				orders.
Amended at 15 Ok Reg
				  3411, eff 7-15-98; Amended at 21 Ok Reg 2489, eff 7-1-04; Revoked at 24 Ok Reg
				  2329, eff 7-1-07
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-2 - Initiation of individual proceedings

Current through Vol. 41, No. 20, July 1, 2024
(a)
Request for hearing and answer.
The person to whom the notice of
				opportunity for hearing is addressed shall file with the Administrator a
				written answer within the time specified in the notice. The answer shall
				indicate whether the party requests a hearing and shall specifically admit or
				deny each allegation of the Department or state that the party does not have,
				and is unable to obtain, sufficient information to admit or deny each
				allegation. When a person intends in good faith to deny only a part of an
				allegation, the party shall specify so much of it as is true and shall deny
				only the remainder. A statement of a lack of information shall have the effect
				of a denial. Any allegation not denied shall be deemed admitted. Failure of a
				party to file an answer in compliance with this subsection shall result in the
				issuance of a final order against that party.
(b)
Setting or denial of
				hearing.
Upon receipt of a written request for a hearing, the
				Administrator shall either promptly schedule a hearing or shall issue a written
				order denying a hearing.
(c)
Time of notice.
Notice of all hearings shall be served by regular
				first class mail or by personal delivery within a time reasonable in light of
				the circumstances, in advance of the hearing, but not less than forty-five (45)
				days in advance thereof, to all parties. For good cause shown, any hearing may
				be rescheduled, provided all persons entitled to notice of such hearing are
				promptly advised thereof.
(d)
Content of notice.
The notice of hearing shall contain the
				following information:
(1) the date, time,
				place and nature of the hearing;
(2) a statement of the legal authority and
				jurisdiction under which the hearing is to be held;
(3) a short plain statement of the matters
				asserted; and
(4) a reference to
				the particular sections of the statutes and rules involved.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-3 - Prehearing proceedings and processes

Current through Vol. 41, No. 20, July 1, 2024
(a)
Scheduling.
As soon as is practicable after a hearing has been
				scheduled, the Administrator or the Hearing Officer shall enter a scheduling
				order that is intended to expedite the disposition of the action and ensure the
				fair, orderly and efficient conduct of the proceedings. The parties shall
				confer in person or by telephone and attempt to prepare a single agreed
				scheduling order to submit to the Administrator or the Hearing Officer. The
				agreed, proposed scheduling order shall be submitted to the Administrator or
				the Hearing Officer no later than fifteen (15) days after the hearing has been
				scheduled. If the parties are unable to agree to a single scheduling order, the
				parties shall each submit, no later than twenty (20) days after the hearing has
				been scheduled, a proposed scheduling order to the Administrator or the Hearing
				Officer, who shall issue an appropriate scheduling order or, prior to issuing
				such order, hold a scheduling conference in person or by telephone. The
				scheduling order shall establish at least the following:
(1) a schedule of discovery;
(2) any limitations to be placed on
				discovery;
(3) a preliminary list
				identifying all witnesses, documents and exhibits intended to be utilized at
				the hearing;
(4) identification of
				any expert witness intended to be called;
(5) the date for exchanging the documents and
				exhibits intended to be utilized at the hearing and the final list identifying
				all witnesses intended to be called at the hearing; and
(6) such other matters as may aid in the
				disposition of the matter.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-4 - Authority to subpoena witnesses

Current through Vol. 41, No. 20, July 1, 2024
(a)
Subpoenas.
(1) Any party to an
				individual proceeding shall have the right to have subpoenas issued to require
				the attendance and testimony of witnesses at a designated time and place, or to
				require the production of documents and tangible items in the possession or
				under the control of the witness at a designated time and place. A party
				requesting the issuance of a subpoena shall submit the proposed subpoena in
				writing to the Administrator or the Hearing Officer. The proposed subpoena
				shall contain the name and address of the person to be subpoenaed; the name,
				bar number, address, email address, and telephone number of counsel of record,
				or if the party is not represented, the name, address, email address, and
				telephone number of the party requesting the subpoena; and if the production of
				documents or tangible items is sought, a particular description of such
				documents or tangible items. Where it appears to the Administrator or the
				Hearing Officer that the subpoena sought may be unreasonable, oppressive,
				excessive in scope, unduly burdensome, or not relevant, the Adminstator or
				Hearing Officer may, in the Administrator's or Hearing Officer's discretion, as
				a condition precedent to the issuance of the subpoena, require the party
				seeking the subpoena to show the general relevance and reasonable scope of the
				testimony or other evidence sought. If after consideration of all the
				circumstances, the Administrator or the Hearing Officer determines that the
				subpoena or any of its terms is unreasonable, oppressive, excessive in scope,
				unduly burdensome or not relevant, the Administrator or the Hearing Officer may
				refuse to issue the subpoena, or issue the subpoena only upon such conditions
				as fairness requires.
(2) A party
				requesting the issuance of a subpoena to an out-of-state witness may be
				required to show the relevance of the information sought and the witness'
				contacts with this state as a condition precedent to the issuance of the
				subpoena. If after consideration of all circumstances, the Administrator or the
				Hearing Officer determines that the information sought is not relevant or the
				witness' contacts with the state are insufficient to establish jurisdiction
				over the witness, the Administrator or the Hearing Officer may refuse to issue
				the subpoena.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-5 - Representation

Current through Vol. 41, No. 20, July 1, 2024
(a)
Right to counsel.
Any party
				shall have the right to appear in person and by counsel, provided, however,
				that such counsel representing the party must be duly licensed to practice law
				by the Supreme Court of Oklahoma. Such counsel may be present during the giving
				of evidence, have a reasonable opportunity to examine and inspect all
				documentary evidence, examine witnesses, and present evidence on the client's
				behalf.
(b)
Notice of
				appearance.
An attorney representing a party shall promptly file a
				notice of appearance with the Administrator. The notice of appearance shall
				contain all of the following:
(1) the
				attorney's name, address, email address, telephone number, and bar number;
(2) the firm name, address, and
				telephone number if the attorney is a member of a firm; and
(3) the name, address, email address, and
				telephone number of the person represented.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-6 - Conduct of individual proceeding

Current through Vol. 41, No. 20, July 1, 2024
(a)
Order of proceeding.
The hearing shall proceed as follows:
(1) The Administrator or the Hearing Officer
				shall call the hearing to order;
(2) the Administrator or the Hearing Officer
				shall briefly explain the purpose and nature of the hearing;
(3) the Administrator or the Hearing Officer
				may allow the parties to present preliminary matters;
(4) the Administrator or the Hearing Officer
				may allow the parties to make opening statements;
(5) the Administrator or the Hearing Officer
				shall state the order of presentation of evidence;
(6) witnesses shall be sworn or put under
				affirmation to tell the truth; and
(7) the Administrator or the Hearing Officer
				may allow the parties to present summations and closing argument.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-7 - Record of individual proceeding

Current through Vol. 41, No. 20, July 1, 2024
(a)
Requirement to record.
Oral proceedings shall be electronically
				recorded. Copies of the recordings shall be provided by the Department at the
				request of any party to the proceeding. Costs of transcription of the
				recordings shall be borne by the party requesting transcription and shall be
				paid directly to the person performing the transcription. Parties to any
				proceeding may have the proceedings recorded and transcribed by a court
				reporter at their own expense.
(b)
Content of record.
The record in any hearing shall include the
				following:
(1) all pleadings, motions,
				intermediate rulings and orders;
(2) all evidence received or considered,
				including a statement of matters officially noted;
(3) questions and offers of proof, objections
				and rulings thereon;
(4) proposed
				findings of fact, conclusions of law, and exceptions;
(5) the proposed order of the Hearing
				Officer;
(6) all other evidence or
				data submitted to the Administrator, or the Hearing Officer, in connection with
				their consideration of the case provided all parties have had access to such
				evidence; and
(7) the final order
				of the Administrator.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-8 - Final orders

Current through Vol. 41, No. 20, July 1, 2024
A final order in any individual proceeding shall be in
				  writing. A final order shall include findings of fact and conclusions of law,
				  separately stated. Findings of fact, if set forth in statutory language, shall
				  be accompanied by a concise and explicit statement of the underlying facts
				  supporting the findings. If, upon request, a party submits proposed findings of
				  fact, the order shall include a ruling upon each proposed finding. Parties
				  shall be notified either personally or by certified mail, return receipt
				  requested, of any final order.
Amended at 15 Ok Reg
				  3411, eff 7-15-98; Revoked at 24 Ok Reg 2329, eff
				  7-1-07
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-9 - Rehearings

Current through Vol. 41, No. 20, July 1, 2024
(a)
Written request.
Any party
				aggrieved by a final order may request rehearing, reopening or reconsideration
				if a written request is made therefor within ten days (10) after entry of the
				final order.
(b)
Grounds.
In the request for rehearing, reopening or
				reconsideration, the party shall set forth one or more of the following
				grounds:
(1) newly discovered or newly
				available evidence relevant to the issues;
(2) need for additional evidence to
				adequately develop the facts essential to proper decision;
(3) probable error committed by the
				Administrator, or the Hearing Officer, in the proceeding or in his decision
				such as would be ground for reversal on judicial review of the order;
(4) need for further consideration of the
				issues and the evidence in the public interest; or
(5) a showing that issues not previously
				considered ought to be examined in order to properly dispose of the
				matter.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 9 - Individual Proceeding Practices and Procedures › Section 660:2-9-10 - Appeals [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 15 Ok Reg
				  3411, eff 7-15-98
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 11 - Procedures for Inspecting and/or Copying Public Records › Section 660:2-11-1 - Purpose

Current through Vol. 41, No. 20, July 1, 2024
The provisions of this Subchapter set forth the procedures of
				  the Department for public inspection and/or copying of the public records of
				  the Department. Such procedures are established for purposes of complying with
				  the provisions of the Open Records Act as defined in
				  660:2-11-2 and
				  Section 302 of the Oklahoma Administrative Procedures Act (75 O.S., §302).
				  Nothing herein is intended to derogate from or be in conflict with the
				  provisions of the Open Records Act. To the extent any provision of this
				  Subchapter is found to be in conflict with any provision of the Open Records
				  Act, the provisions of the Open Records Act shall govern.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 11 - Procedures for Inspecting and/or Copying Public Records › Section 660:2-11-2 - Definitions

Current through Vol. 41, No. 20, July 1, 2024
The following words and terms, when used in this Subchapter
				  have the following meaning, unless the context clearly indicates
				  otherwise:
"Open Records Act"
means the Oklahoma Open
				  Records Act, 51 O.S., Sections 24A1 et seq.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 11 - Procedures for Inspecting and/or Copying Public Records › Section 660:2-11-3 - Record custodians

Current through Vol. 41, No. 20, July 1, 2024
(a)
Authority
				of record custodians.
The persons designated below serve as Record
				Custodians for purposes of the Open Records Act and are hereby charged with
				responsibility for compliance with that Act pursuant to the procedures set
				forth in this Section and elsewhere in this Subchapter.
(b)
Appointment of record
				custodians.
The following officials of the Department are hereby
				appointed as Record Custodians for the designated records and as such shall
				have all the powers and duties set forth in this Subchapter and in the Open
				Records Act:
(1) Administrator - all records
				of the Department
(2) Deputy
				Administrator - all records of the Department
(3) Director of Enforcement - all enforcement
				records of the Department
(4)
				Director of Corporate Finance - all product registration and exemption records
				of the Department
(5) Director of
				Professional Registrations and Compliance -all registration of securities
				professionals and examination records of the Department.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 11 - Procedures for Inspecting and/or Copying Public Records › Section 660:2-11-4 - Hours of inspection

Current through Vol. 41, No. 20, July 1, 2024
All public records of the Department will be available for
				  inspection during the regular business hours of the Department. Such hours will
				  be 8:30 a.m. to 4:30 p.m., Monday through Friday, except legal
				  holidays.
Amended at 15 Ok Reg
				  3411, eff 7-15-98
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 11 - Procedures for Inspecting and/or Copying Public Records › Section 660:2-11-5 - Procedures for inspection of records

Current through Vol. 41, No. 20, July 1, 2024
(a)
Requests for inspection.
To inspect a public record in the
				possession of the Department, the person requesting the record shall execute a
				Form OAD 25 - REQUEST FOR RECORD INSPECTION and deliver it to the Record
				Custodian responsible for the requested record designated in
				660:2-11-3. All
				record inspection forms must be completed by the person requesting the record
				and signed by the individual making the request. The Record Custodian may
				demand reasonable identification of any person requesting a record.
(b)
Place of inspection.
All
				inspections of public records shall be performed in the offices of the
				Department under the supervision of the Record Custodian or a designee.
(c)
Identification of
				records.
A written request for inspection of a record shall reasonably
				describe the record sought. In instances where the person requesting the record
				cannot provide sufficient information to identify a record, the Record
				Custodian shall assist in making such identification.
(d)
Delay or denial of requests for
				inspection.
If the record requested is not available for inspection at
				the time requested, the Record Custodian shall, no later than seven (7)
				business days prior to the requested record inspection date, notify the person
				requesting the record:
(1) that the record
				will be available for inspection at a later time by returning Form OAD 26 -
				RECORD INSPECTION DELAY NOTICE; or
(2) that the record will not be available for
				inspection, by returning to the person requesting the record a copy of Form OAD
				27 - RECORD INSPECTION DENIAL.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 11 - Procedures for Inspecting and/or Copying Public Records › Section 660:2-11-6 - Procedures for copying records

Current through Vol. 41, No. 20, July 1, 2024
(a)
Requests for copies.
To obtain a copy of a public record in the
				possession of the Department, the person requesting the copy shall execute a
				Form OAD 28 - REQUEST FOR RECORD COPY and deliver it to the Record Custodian
				responsible for the requested record designated in
				660:2-11-3;
				except that no form shall be required for requests made for records which have
				been reproduced for free public distribution. Such request shall be accompanied
				by the fees set forth in Section 1-612 of the Securities Act. All record copy
				forms must be completed by the person requesting the record and signed by the
				individual making the request. The Record Custodian, or a designee, may demand
				reasonable identification of any person requesting a record.
(b)
Responsibility for making
				copies.
All copies of public records shall be performed by the Record
				Custodianor a designee in the offices of the Department except where the Record
				Custodianor a designee determines that the size or the volume of records to be
				copied warrants sending the record outside the Department for copying, in which
				event the copies shall be made at a place selected by the Record Custodianor a
				designee and under the supervision of the Record Custodianor a designee.
(c)
Identification of
				records.
A written request for copies of a record shall reasonably
				describe the record sought. In instances where the person requesting the copies
				cannot provide sufficient information to identify a record, the Record
				Custodianor a designee shall assist in making such identification.
(d)
Delay or denial of requests for
				copies.
If the record requested is not available for copying at the time
				requested, the Record Custodian or a designee shall, no later than seven (7)
				business days prior to the requested copy date, notify the person requesting
				the copies:
(1) that the record will be
				available for copying at a later time by returning Form OAD 29 - RECORD COPY
				DELAY NOTICE; or
(2) that the
				record will not be available for copying, by returning to the person requesting
				the record a copy of Form OAD 30 - RECORD COPY DENIAL.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 11 - Procedures for Inspecting and/or Copying Public Records › Section 660:2-11-7 - Fees

Current through Vol. 41, No. 20, July 1, 2024
(a)
Amounts payable.
The
				following are the fees that shall be charged by the Department for copying
				and/or mechanical reproduction of public records and for the search for public
				records requested by the public pursuant to the Open Records Act and Section
				1-612 of the Securities Act; provided, however, no record search and/or copying
				charge shall be assessed against officers or employees of the Department who
				make requests which are reasonably necessary to the performance of their
				official duties:
(1)
Inspection
				fees.
No fee shall be charged for inspection of a public record in the
				offices of the Department.
(2)
Copying Fees.
Any person requesting copies of public records shall
				pay the fees specified in Section 1-612 of the Securities Act prior to receipt
				of the records.
(3)
Fee for
				mechanical reproduction.
For copying any public record which cannot be
				reproduced by photocopying, such as a computer printout or a blueprint, or
				where the size of the record to be copied warrants sending the record outside
				for copying, the person requesting the record shall be charged the actual cost
				to the Department of such copying, including the cost of labor, materials and
				equipment.
(4)
Search
				fee.
If the person requesting a record is using the records solely for a
				commercial purpose, a search fee shall be charged as set forth in Section 1-612
				of the Securities Act for the time spent by employees in retrieving the record
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 2 - Organization and Procedures of Department of Securities › Subchapter 13 - Declaratory Rulings and Interpretive Opinions › Section 660:2-13-1 - Opinions

Current through Vol. 41, No. 20, July 1, 2024
The Administrator and/or Commission may honor requests from
				  interested persons for interpretive opinions and as to the applicability of any
				  rule or order, if it be shown that an actual case, controversy or issue is in
				  contemplation and that unreasonable hardship, loss or delay would result if the
				  matter were not determined in advance. The Administrator in his discretion may
				  honor requests from interested persons for formal interpretive opinions
				  relating to a specific factual circumstance and no-action positions, including
				  consideration of waivers, where appropriate and in the public interest, on the
				  basis of facts stated and submitted in writing, with respect to the provisions
				  of the Securities Act or any rule or statement of policy adopted thereunder,
				  provided such requests satisfy and conform to the following
				  requirements:
(1) Such requests shall
				be in writing and shall include or be accompanied by all information and
				material required by any statute, rule, or statement of policy under which an
				exception or exemption may be claimed, including but not limited to, copies of
				prospectuses or offering circulars if applicable or appropriate.
(2) The request letter shall include the name
				of the entity for whom the request is being made and the specific subsection of
				the particular statute or the particular rule or statement of policy to which
				the letter pertains shall be indicated in the upper right-hand corner of the
				letter.
(3) The letter should
				contain a brief narrative of the fact situation and should set out all of the
				facts necessary to reach a conclusion in the matter; however, such narratives
				should be concise and to the point.
(4) The names of the company or companies,
				organization or organizations, and all other persons involved should be stated
				and should relate and be limited to a particular factual circumstance. Letters
				relating to unnamed companies, organizations, or persons or to hypothetical
				situations will not warrant a formal response.
(5) Every such request shall include or be
				accompanied by a signed opinion of legal counsel which briefly and concisely
				states counsel's understanding, counsel's opinion in the matter, which may be
				expressed tentatively or conditioned upon concurrence by the Administrator, and
				the basis for such opinion.
(6)
				Each request for a no-action position and/or interpretive opinion letter shall
				be accompanied by payment of a fee in the amount specified in Section 1-612 of
				the Securities Act.
Amended at 21 Ok Reg
				  2489, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 4 - Procedures for the Oklahoma Subdivided Land Sales Code › Subchapter 1 - General Provisions › Section 660:4-1-1 - Purpose

Current through Vol. 41, No. 20, July 1, 2024
The provisions of this Chapter have been adopted for the
				  purpose of carrying out the provisions of the Oklahoma Subdivided Land Sales
				  Code, 71 O.S., Sections 601 through 667, including the establishment of
				  administrative procedures.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 4 - Procedures for the Oklahoma Subdivided Land Sales Code › Subchapter 1 - General Provisions › Section 660:4-1-2 - Statutory citations

Current through Vol. 41, No. 20, July 1, 2024
Citations to statutes in this Chapter refer to the most
				  recent codification of the Oklahoma Subdivided Land Sales Code, 71 O.S.,
				  Sections 601 through 667.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 4 - Procedures for the Oklahoma Subdivided Land Sales Code › Subchapter 3 - Hearings › Section 660:4-3-1 - Reconsideration of Department action

Current through Vol. 41, No. 20, July 1, 2024
(a)
Review of final order.
Any person aggrieved by a final order of
				the Administrator under the Land Sales Act may obtain a review by the Oklahoma
				Securities Commission by filing with the Administrator within fifteen (15) days
				after the entry of its order, a written petition praying that the order be
				modified or set aside in whole or in part and stating the grounds
				therefor.
(b)
Hearing de
				novo.
The application and petition shall within sixty (60) days be heard
				de novo by the Commission en banc.
(c)
Request for oral argument.
If petitioner desires to present oral argument on his petition, it shall be
				affirmatively requested in writing at the time the petition is submitted to the
				Administrator.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 6 - Forms › Subchapter 1 - General Provisions › Section 660:6-1-1 - Purpose

Current through Vol. 41, No. 20, July 1, 2024
The provisions of this Chapter have been adopted for the
				  purpose of describing the various forms accepted by the Department for
				  compliance with the various provisions of the acts subject to the jurisdiction
				  of the Administrator.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 6 - Forms › Subchapter 3 - Forms for General Purposes › Section 660:6-3-1 - Forms to inspect or copy records

Current through Vol. 41, No. 20, July 1, 2024
(a)
Forms.
The following forms are required to obtain records of the
				Department under the Open Records Act:
(1)
				OAD-25 -- Request for Record Inspection
(2) OAD-26 -- Record Inspection Delay Notice
(3) OAD-27 -- Record Inspection
				Denial
(4) OAD-28 -- Request for
				Record Copy
(5) OAD-29 -- Record
				Copy Delay Notice
(6) OAD 30 --
				Record Copy Denial
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 6 - Forms › Subchapter 3 - Forms for General Purposes › Section 660:6-3-2 - Forms to file a complaint

Current through Vol. 41, No. 20, July 1, 2024
(a)
Form.
The following form is used to file a complaint with the
				Department: Complaint Form.
(b)
Obtaining form.
The referenced form is available on the
				Department's website at
http://www.securities.ok.gov/
.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 6 - Forms › Subchapter 5 - Forms Used Under the Securities Act › Section 660:6-5-1 - Forms for registration or exemption of securities

Current through Vol. 41, No. 20, July 1, 2024
(a)
Forms.
The following is a
				list of forms accepted by the Department in connection with the registration or
				exemption of securities under the Securities Act:
(1) U-1 -- Uniform Application to Register
				Securities
(2) U-2 -- Uniform
				Consent to Service of Process
(3)
				U-2A -- Uniform Form of Corporate Resolution
(4) U-7 -- Small Company Offering
				Registration Form
(5) NF --
				Uniform Investment Company Notice Filing
(6) Form D -- Notice of Exempt Offering of
				Securities
(7) NASAA Model
				Accredited Investor Exemption Notice of Transaction Form
(8) Oklahoma Accredited Investor Exemption
				Supplemental Information Form
(9)
				Oklahoma Notice of Regulation A Tier 2 Offering Form (or equivalent uniform
				form)
(10) Part 1 of Federal Form
				1-A
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 6 - Forms › Subchapter 5 - Forms Used Under the Securities Act › Section 660:6-5-2 - Forms for securities industry registration

Current through Vol. 41, No. 20, July 1, 2024
(a)
Forms.
The following is a
				list of forms used by the Department in connection with registering persons as
				broker-dealers, agents, non-FINRA principals, issuer agents, investment
				advisers or investment adviser representatives, under the Securities Act:
(1) BD -- Uniform Application for
				Broker-Dealer Registration
(2) BDW
				-- Uniform Request for Broker-Dealer Withdrawal
(3) ADV -- Uniform Application for Investment
				Adviser Registration and Report by Exempt Reporting Advisers
(4) ADV-W -- Uniform Application for
				Investment Adviser Withdrawal
(5)
				U-2 -- Uniform Consent to Service of Process
(6) U-2A -- Uniform Form of Corporate
				Resolution
(7) U4 -- Uniform
				Application for Securities Industry Registration or Transfer
(8) U5 -- Uniform Termination Notice for
				Securities Industry Registration
(9) U10 -- Uniform Examination Request for
				Non-FINRA Candidates
(10) OBD-001
				-- Applicant Management Certification for Non-FINRA Principals
(11) OBD-008 -- Application for Renewal of
				Non-FINRA Broker-Dealer Registration
(12) OBD-016 -- Application for Renewal of
				Non-FINRA Broker-Dealer Principal Registration
(13) OBD-018 -- Applicant/Management
				Certification for Issuer Agents
(14) OBD-019 -- Application for Renewal of
				Non-FINRA Broker-Dealer Agent Registration
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 6 - Forms › Subchapter 9 - Forms Used Under the Land Sales Act › Section 660:6-9-1 - Forms for registration of subdivided land

Current through Vol. 41, No. 20, July 1, 2024
(a)
Forms.
The following is a
				list of forms required by the Department in connection with the registration of
				subdivided land under the Land Sales Act:
(1)
				LRF-625 -- Application for Registration of Subdivided Lands
(2) LRF-626A -- Public Offering
				Statement-Instruction Guide
(3)
				LRF-626B -- Summary Disclosure Statement Guide
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 6 - Forms › Subchapter 9 - Forms Used Under the Land Sales Act › Section 660:6-9-2 - Forms for licensing of agents

Current through Vol. 41, No. 20, July 1, 2024
(a)
Forms.
The following is a list of forms required by the Department
				in connection with the licensing of agents under the Land Sales Act: LRF-632 -
				Application for License for Subdivided Land Sales Agent
(b)
Obtaining form.
The form
				listed in Subsection (a) may be obtained from the Department.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 1 - General Provisions [Revoked] › Section 660:10-1-1 - Purpose [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
				  3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
				  7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 1 - General Provisions [Revoked] › Section 660:10-1-2 - Statutory citations [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
				  3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
				  7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 1 - General Provisions [Revoked] › Section 660:10-1-3 - Definitions [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
				  3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
				  7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 1 - General Provisions [Revoked] › Section 660:10-1-4 - Application of Securities Act [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 15 Ok Reg
				  3418, eff 7-15-98
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 1 - General Provisions [Revoked] › Section 660:10-1-5 - Legend requirement [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 15 Ok Reg
				  3418, eff 7-15-98
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-3-1 - Definitions [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS [Revoked] › Section 660:10-3-21 - Loans [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS [Revoked] › Section 660:10-3-22 - Valuation of other assets [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS [Revoked] › Section 660:10-3-23 - Reserve against bad debts [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS [Revoked] › Section 660:10-3-24 - Books and records [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS [Revoked] › Section 660:10-3-25 - Reports [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 5 - MISCELLANEOUS PROVISIONS [Revoked] › Section 660:10-3-31 - Qualifications of conservator or liquidator [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 5 - MISCELLANEOUS PROVISIONS [Revoked] › Section 660:10-3-32 - Acknowledgment [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 3 - Investment Certificate Issuers [Revoked] › Part 5 - MISCELLANEOUS PROVISIONS [Revoked] › Section 660:10-3-33 - Examination standards [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-5-1 - Purpose [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-5-2 - Definitions [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-11 - Initial registration [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 9 Ok Reg
					 2995, eff 7-15-92; Amended at 15 Ok Reg 3418, eff 7-15-98; Amended at 18 Ok Reg
					 691, eff 1-1-01 through 7-14-01 (emergency)1; Added
					 at 18 Ok Reg 3667, eff 8-10-01 (emergency); Amended at 19 Ok Reg 2867, eff
					 8-26-02; Revoked at 21 Ok Reg 2499, eff 7-1-04
AGENCY NOTE: 
					 1This section 660:10-5-11 was
					 amended by emergency action on 1-1-01, and was scheduled to expire on 7-15-01
					 if not already superseded by permanent amendments. However, the Administrator
					 issued an order on 7-15-01 pursuant to 71 O.S., § 202, extending the
					 effectiveness of the amendments pending enactment of permanent
					 amendments.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-12 - Renewal [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 9 Ok Reg
					 2995, eff 7-15-92; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-13 - Agent transfer [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-14 - Agent termination [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-15 - Categories of registration [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-16 - Qualification examination requirements [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 9 Ok Reg
					 2995, eff 7-15-92; Amended at 15 Ok Reg 3418, eff 7-15-98; Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-17 - Net capital for broker-dealers [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-18 - Bond requirements [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 9 Ok Reg
					 2995, eff 7-15-92; Revoked at 15 Ok Reg 3418, eff
					 7-15-98
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-5-19 - Piecemeal filings [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 9 Ok Reg
					 2995, eff 7-15-92; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 5 - REPORTING REQUIREMENTS [Revoked] › Section 660:10-5-31 - Post-registration reporting requirements [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; Amended at 18 Ok Reg 691, eff 1-1-01 through 7-14-01
					 (emergency)1; Amended at 19 Ok Reg 2867, eff
					 8-26-02; Revoked at 21 Ok Reg 2499, eff 7-1-04
AGENCY NOTE: 
					 1This section 660:10-5-31 was
					 amended by emergency action on 1-1-01, and was scheduled to expire on 7-15-01
					 if not already superseded by permanent amendments. However, the Administrator
					 issued an order on 7-15-01 pursuant to 71 O.S., § 410, extending the
					 effectiveness of the amendments pending enactment of permanent
					 amendments.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-5-41 - Record keeping requirements for broker-dealers [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-5-42 - Standards of ethical practices [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-5-43 - Examination of broker-dealers [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-5-44 - Charges incurred in periodic examinations [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; Revoked at 21 Ok Reg 2499, eff
					 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 5 - Broker-Dealers and Agents [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-5-45 - Financial statements for broker-dealers [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 9 Ok Reg
					 2995, eff 7-15-92; Amended at 15 Ok Reg 3418, eff 7-15-98; Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-7-1 - Purpose [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 21 Ok Reg
					 2499, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-7-2 - Definitions [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 9 Ok Reg
					 2995, eff 7-15-92; Revoked at 21 Ok Reg 2499, eff
					 7-1-04