Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 1 - Organization and Procedures of Securities Commission › Subchapter 5 - Appeals › Section 660:1-5-1 - Procedures for appeals to the Commission

Current through Vol. 41, No. 20, July 1, 2024
(a)
Scope.
The provisions of
				this Section govern the procedures for appeals by a person aggrieved by a final
				order of the Administrator filed before the Commission. These procedures shall
				not be construed to extend or limit the jurisdiction of the Commission or the
				Administrator as established by law.
(b)
Appeal-how and when taken.
In matters in which an appeal is permitted by law, the person appealing the
				order shall file with the Administrator a petition within fifteen (15) days
				after entry of the order. The Administrator shall submit the petition to the
				Commission at the next scheduled Commission meeting. The Petition shall specify
				the party or parties requesting the appeal; shall designate the order or part
				thereof appealed from; shall request a record on appeal be compiled; shall set
				forth appellant's agreement to pay for the preparation of the record on appeal;
				and shall be signed by the party or parties or counsel for the party or
				parties. For purposes of this subsection, the term "entry of the order" means
				the day the final order is mailed or personally delivered to the persons
				entitled to receive the order.
(c)
Record on appeal.
Upon receipt of the petition of appeal, the
				Administrator shall direct the Department to compile the record on appeal. The
				record on appeal shall consist of the record upon which the final order was
				issued as described in
				660:2-9-7.
				Upon completion of the record on appeal, the Administrator shall notify the
				appellant that the record has been completed. Upon payment of the costs of
				preparation of the record on appeal, copies of the record will be served upon
				the Commission and all parties to the appeal with a notice of the date that the
				record was served and the briefing schedule.
(d)
Briefing schedule and
				briefs.
The appellant shall file six copies of his opening brief on
				appeal with the Administrator and serve one copy on all other parties to the
				appeal within fifteen (15) days of service of the record on appeal. The
				appellee shall file six copies of his opening brief on appeal with the
				Administrator and serve one copy on all other parties to the appeal within
				fifteen (15) days of receipt of the brief of appellant. The Chairperson of the
				Commission, or his designee, may, upon good cause shown, enlarge these periods
				as he deems appropriate.
(1)
Brief of
				appellant.
The brief of the appellant shall contain under appropriate
				headings and in the order here indicated:
(A)
				A table of contents, with page references, and a table of cases (alphabetically
				arranged), statutes and other authorities cited, with references to the pages
				of the brief where they are cited.
(B) A statement setting forth any objection
				to the jurisdiction of the Department and the grounds for such objection or a
				statement that no objection to jurisdiction is being made.
(C) A statement of the issues presented for
				review.
(D) A statement of the
				case. The statement shall first indicate briefly the nature of the case, the
				course of the proceedings, and its disposition with the Administrator. There
				shall follow a statement of the facts relevant to the issues presented for
				review, with appropriate references to the record. No factual statements may be
				made in the brief unless asserted at the hearing before the Administrator and a
				citation to the record is included.
(E) An argument. The argument may be preceded
				by a summary. The argument shall contain the contentions of the appellant with
				respect to the issues presented and the reasons therefor, with citations to the
				authorities, statutes and parts of the record upon which the party is
				relying.
(F) A short conclusion
				stating the precise relief sought.