reglab/statecodes huggingface dataset:
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-7-11 - 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; 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 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-7-12 - Renewal [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 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-7-13 - 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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-7-14 - 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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 3 - LICENSING PROCEDURES [Revoked] › Section 660:10-7-15 - 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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 5 - REPORTING REQUIREMENTS [Revoked] › Section 660:10-7-31 - Post-registration reporting requirements [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Amended at 15 Ok Reg
					 3418, eff 7-15-98; 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 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-7-41 - Record keeping requirements [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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-7-42 - 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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-7-43 - Disclosure 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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-7-44 - Financial statements for investment advisers [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 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-7-45 - Examination of investment advisers [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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-7-46 - Charges incurred in periodic examinations [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 7 - RECORD KEEPING AND ETHICAL STANDARDS [Revoked] › Section 660:10-7-47 - Payments for client solicitations [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Added 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 7 - Investment Advisers and Investment Adviser Representatives [Revoked] › Part 9 - SEC COVERED INVESTMENT ADVISERS [Revoked] › Section 660:10-7-51 - SEC covered investment adviser notice filing [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Added 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 9 - Registration of Securities [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-9-2 - Amendments [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 9 - Registration of Securities [Revoked] › Part 3 - REGISTRATION PROCEDURES [Revoked] › Section 660:10-9-11 - Filing by coordination [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 9 - Registration of Securities [Revoked] › Part 3 - REGISTRATION PROCEDURES [Revoked] › Section 660:10-9-12 - Content of registration statement [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 9 - Registration of Securities [Revoked] › Part 3 - REGISTRATION PROCEDURES [Revoked] › Section 660:10-9-13 - Amendments to registration statements [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 9 - Registration of Securities [Revoked] › Part 3 - REGISTRATION PROCEDURES [Revoked] › Section 660:10-9-14 - Financial statements [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 9 - Registration of Securities [Revoked] › Part 3 - REGISTRATION PROCEDURES [Revoked] › Section 660:10-9-15 - Change of accountant proceeding or during effectiveness [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 9 - Registration of Securities [Revoked] › Part 3 - REGISTRATION PROCEDURES [Revoked] › Section 660:10-9-16 - Abandoned filings [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 9 - Registration of Securities [Revoked] › Part 5 - GUIDELINES AND POLICIES APPLICABLE TO OFFERINGS OF REGISTERED SECURITIES [Revoked] › Section 660:10-9-31 - Prospectus delivery requirement [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 9 - Registration of Securities [Revoked] › Part 5 - GUIDELINES AND POLICIES APPLICABLE TO OFFERINGS OF REGISTERED SECURITIES [Revoked] › Section 660:10-9-32 - Escrow agreements [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 9 - Registration of Securities [Revoked] › Part 5 - GUIDELINES AND POLICIES APPLICABLE TO OFFERINGS OF REGISTERED SECURITIES [Revoked] › Section 660:10-9-33 - Special requirements for promotional or developmental stage companies [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 9 - Registration of Securities [Revoked] › Part 5 - GUIDELINES AND POLICIES APPLICABLE TO OFFERINGS OF REGISTERED SECURITIES [Revoked] › Section 660:10-9-34 - NASAA guidelines [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 9 - Registration of Securities [Revoked] › Part 5 - GUIDELINES AND POLICIES APPLICABLE TO OFFERINGS OF REGISTERED SECURITIES [Revoked] › Section 660:10-9-35 - Limitations on offering expenses and remuneration [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 9 - Registration of Securities [Revoked] › Part 5 - GUIDELINES AND POLICIES APPLICABLE TO OFFERINGS OF REGISTERED SECURITIES [Revoked] › Section 660:10-9-36 - Promoters' and organizers' equity contributions [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 9 - Registration of Securities [Revoked] › Part 7 - REPORTING REQUIREMENTS [Revoked] › Section 660:10-9-51 - Registration renewal and sales reporting requirements [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 9 - Registration of Securities [Revoked] › Part 7 - REPORTING REQUIREMENTS [Revoked] › Section 660:10-9-52 - Noncontinuous offerings [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 9 - Registration of Securities [Revoked] › Part 7 - REPORTING REQUIREMENTS [Revoked] › Section 660:10-9-53 - Special examinations of registrations [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 11 - Exemptions From Securities Registration [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-11-1 - 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 11 - Exemptions From Securities Registration [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-11-2 - Commissions [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 11 - Exemptions From Securities Registration [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-11-3 - Number of purchasers [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 11 - Exemptions From Securities Registration [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-11-4 - Integration of offerings [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 11 - Exemptions From Securities Registration [Revoked] › Part 1 - GENERAL PROVISIONS [Revoked] › Section 660:10-11-5 - Definition of accredited investor [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 9 Ok Reg
					 2995, eff 7-15-92
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 11 - Exemptions From Securities Registration [Revoked] › Part 3 - EXEMPT SECURITIES [Revoked] › Section 660:10-11-21 - Section 401(a)(6) notice filing [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 11 - Exemptions From Securities Registration [Revoked] › Part 3 - EXEMPT SECURITIES [Revoked] › Section 660:10-11-22 - Commercial paper exemption [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 11 - Exemptions From Securities Registration [Revoked] › Part 3 - EXEMPT SECURITIES [Revoked] › Section 660:10-11-23 - Manual exemption [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-41 - Evidence of unsolicited orders [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-42 - Interpretation of 'existing security holders' [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-43 - Section 401(b)(10)(B) notice filing [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-44 - Section 401(b)(15) notice filing [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-45 - Section 401(b)(19) notice filing [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-46 - Exemption for certain reporting companies [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Revoked at 9 Ok Reg
					 2995, eff 7-15-92
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 10 - Oklahoma Securities Act [Revoked] › Subchapter 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-47 - Exemption list [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-48 - Exchange/national market system exemption - issuer transaction [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-49 - Exchange national/market system exemption - nonissuer transaction [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 11 - Exemptions From Securities Registration [Revoked] › Part 5 - EXEMPT TRANSACTIONS [Revoked] › Section 660:10-11-50 - Uniform limited offering exemption [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 13 - Sales Literature [Revoked] › Section 660:10-13-1 - 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 13 - Sales Literature [Revoked] › Section 660:10-13-2 - 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 13 - Sales Literature [Revoked] › Section 660:10-13-3 - Filing requirements [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 13 - Sales Literature [Revoked] › Section 660:10-13-4 - Content [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 15 - Miscellaneous Provisions [Revoked] › Section 660:10-15-1 - General rules for presentation of financial statements [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 17 - Investment Companies [Revoked] › Section 660:10-17-1 - Definitions [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Added 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 17 - Investment Companies [Revoked] › Section 660:10-17-2 - Investment company notices [REVOKED]

Current through Vol. 41, No. 20, July 1, 2024
Added 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 17 - Investment Companies [Revoked] › Section 660:10-17-3 - Investment company sales report [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 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 1 - General Provisions › Section 660:11-1-1 - 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 Uniform Securities Act
				  of 2004 including, but not limited to, provisions governing the offer, sale and
				  issuance of securities.
Added at 21 Ok Reg 2532,
				  eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 1 - General Provisions › Section 660:11-1-2 - 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 Uniform Securities Act of 2004 in Title 71
				  of the Oklahoma Statutes.
Added at 21 Ok Reg 2532,
				  eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 1 - General Provisions › Section 660:11-1-6 - Amendments

Current through Vol. 41, No. 20, July 1, 2024
The Administrator may by order amend the provisions of this
				  chapter to conform references to the Securities Act or to rules promulgated
				  thereunder to numerical redesignations occasioned by legislative or rulemaking
				  activities.
Added at 21 Ok Reg 2532,
				  eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 1 - GENERAL PROVISIONS › Section 660:11-3-1 - Definitions

Current through Vol. 41, No. 20, July 1, 2024
The following words and terms, when used in this
					 subchapter, shall have the following meaning, unless the context clearly
					 indicates otherwise:
"Allowance"
means an allowance for loan losses
					 or a reserve against bad debts.
"Net loans outstanding"
means total gross
					 loans outstanding less unearned discount.
"Nonperforming loan"
means a loan over 90 days
					 past due with respect to principal and/or interest.
"Uncollectible"
means the potential for
					 collection is virtually nonexistent.
"Worthless"
means lacking
					 value.
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS › Section 660:11-3-21 - Loans

Current through Vol. 41, No. 20, July 1, 2024
(a) Classifications. Each investment
				  certificate issuer shall observe the following prescribed classification
				  standards of loans:
(1) Loss - all, or a
				  portion, of the loan considered uncollectible or worthless.
(2) Doubtful - all, or a portion, of the loan
				  the ultimate collection of which is doubtful and in which a substantial loss is
				  probable, but not as yet definitely ascertainable in amount.
(3) Substandard - all, or a portion, of the
				  loan not classified as doubtful or loss and which involves more than normal
				  risk due to the financial condition or unfavorable record of the borrower,
				  insufficiency of security, or other factors.
(4) Special mention - loans not warranting
				  classification as substandard, doubtful, or loss but which are of an unusual
				  nature carrying more than the usual risk, and should have the careful attention
				  of management.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS › Section 660:11-3-22 - Valuation of other assets

Current through Vol. 41, No. 20, July 1, 2024
(a)
Real property.
Real property shall be recorded on the balance
				  sheet in accordance with generally accepted accounting principles. Each
				  investment certificate issuer shall maintain an appraisal of all real property
				  recorded on the balance sheet. Said appraisal shall be updated by a licensed,
				  independent appraiser upon the Administrator's request if a change in the
				  economic or market conditions occur. If said appraisal indicates that the value
				  of the asset is materially overstated on the balance sheet such that the
				  financial statements are materially misstated, said asset shall be written down
				  to market value upon the written request of the Administrator.
(b)
Other assets.
All other
				  assets of the investment certificate issuer shall be recorded on the balance
				  sheet in accordance with generally accepted accounting principles.
(c)
Charge-offs.
Each investment
				  certificate issuer shall charge-off the whole of any other asset, including
				  real property, at such time that said asset is deemed to be lacking in value by
				  the Administrator.
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS › Section 660:11-3-23 - Reserve against bad debts

Current through Vol. 41, No. 20, July 1, 2024
(a)
Requirement to maintain reserve.
Each investment certificate
				  issuer shall at all times maintain a reserve against bad debts, that is, an
				  Allowance for Loan Losses, in an amount equal to two percent (2%) of the total
				  loans outstanding.
(b)
Determination of amount of reserve.
As of the end of each quarter,
				  the management of each investment certificate issuer shall evaluate the
				  collectibility of the loan portfolio to bring the Allowance, by means of a
				  charge or credit, to a level adequate to absorb anticipated loan losses. Any
				  recoveries during the reporting period should be credited to the Allowance, and
				  any charge-offs should be charged to the Allowance. With respect to those loans
				  classified as "doubtful" in accordance with
				  660:11-3-21, the Allowance
				  shall be increased by an amount equal to fifty percent (50%) of the amounts
				  classified as "doubtful." With respect to those loans classified as
				  "substandard" in accordance with
				  660:11-3-21, the Allowance
				  shall be increased by ten percent (10%) of the amounts of the outstanding loans
				  classified as "substandard."
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS › Section 660:11-3-24 - Books and records

Current through Vol. 41, No. 20, July 1, 2024
(a)
Maintenance of books and records.
Each investment certificate
				  issuer shall maintain its books and records in such a manner that said books
				  and records will facilitate preparation of financial statements in accordance
				  with generally accepted accounting principles. Said books and records shall be
				  maintained in sufficient detail to afford an analysis of all
				  transactions.
(b)
Financial
				  statements.
Each investment certificate issuer shall prepare a balance
				  sheet and statement of income at the close of business on the last day of each
				  month. Said financial statements shall be prepared not later than fifteen (15)
				  business days after the end of the accounting period.
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 3 - REPORTING AND ACCOUNTING REQUIREMENTS › Section 660:11-3-25 - Reports

Current through Vol. 41, No. 20, July 1, 2024
(a)
Reports required.
Each
				  investment certificate issuer shall prepare and file with the Administrator
				  quarterly reports for the quarters other than the quarter ending the fiscal
				  year. Each report shall include the following:
(1) balance sheet and statement of income at
				  the close of business on the last day of the quarter covered by said
				  report;
(2) a schedule of the loans
				  classified as loss, doubtful, substandard or special mention pursuant to
				  660:11-3-21, to include the
				  loan balance amount of accrued interest and value of collateral for each loan
				  appearing thereon; and
(3) aging
				  schedules as prepared in accordance with
				  660:11-3-21.
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 5 - MISCELLANEOUS PROVISIONS › Section 660:11-3-31 - Qualifications of conservator or liquidator

Current through Vol. 41, No. 20, July 1, 2024
A conservator or liquidator, who may be the Administrator
					 of the Department, a member of his staff, or an independent party, appointed
					 under Section 1-308.I.2. of the Securities Act shall be of legal age, of good
					 moral character, a resident of the state of Oklahoma and competent to perform
					 the duties of conservator or liquidator.
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 5 - MISCELLANEOUS PROVISIONS › Section 660:11-3-32 - Acknowledgment

Current through Vol. 41, No. 20, July 1, 2024
The purpose of Section 1-308.C of the Securities Act is to
					 aid investment certificate issuers in applying for insurance by the FDIC. The
					 prior issuance and continued effectiveness of a registration order shall
					 constitute the written acknowledgment addressed by Section 1-308.C of the
					 Securities Act. A formal acknowledgment for purposes of seeking insurance by
					 the FDIC will be issued by the Administrator upon receipt of a written request
					 therefor. Said request shall be accompanied by a copy of the application filed
					 or to be filed with the FDIC. Upon obtaining membership in the FDIC, an
					 investment certificate issuer shall not be subject to the prospectus
					 preparation and delivery requirements set forth in Section 1-304.E of the
					 Securities Act.
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 3 - Investment Certificate Issuers › Part 5 - MISCELLANEOUS PROVISIONS › Section 660:11-3-33 - Examination standards

Current through Vol. 41, No. 20, July 1, 2024
Examinations made by the Administrator or designated
					 members of his staff may be performed in reliance upon the American Institute
					 of Certified Public Accountants industry audit guides for financial
					 institutions and federal regulatory guidelines for financial
					 institutions.
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 1 - GENERAL PROVISIONS › Section 660:11-5-1 - Purpose

Current through Vol. 41, No. 20, July 1, 2024
The rules in this subchapter have been adopted to provide
					 procedures for complying with the provisions of the Securities Act relating to
					 the registrationof broker-dealers and agents and to establish post-registration
					 requirements and standards of ethical practices for broker-dealers and agents
					 .
Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg
						2068, eff 8-1-13
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 1 - GENERAL PROVISIONS › Section 660:11-5-2 - Definitions

Current through Vol. 41, No. 20, July 1, 2024
In addition to the terms defined in 660:11-1-3, the following words and terms when used in this subchapter shall have the following meaning, unless the context clearly indicates otherwise or the words or terms are defined in another Section:
"Branch office"
means any location where one or more associated persons of a member regularly conducts the business of effecting any transactions in, or inducing or attempting to induce the purchase or sale of, any security, or is held out as such, excluding:
(A) Any location that is established solely for customer service or back office type functions where no sales activities are conducted and that is not held out to the public as a branch office;
(B) Any location that is the associated person's primary residence; provided that:
(i) Only one associated person, or multiple associated persons who reside at that location and are members of the same immediate family, conduct business at the location;
(ii) The location is not held out to the public as an office and the associated person does not meet with customers at the location;
(iii) Neither customer funds nor securities are handled at that location;
(iv) The associated person is assigned to a designated branch office, and such designated branch office is reflected on all business cards, stationery, retail communications and other communications to the public by such associated person;
(v) The associated person's correspondence and communications with the public are subject to the firm's supervision;
(vi) Electronic communications (e.g., e-mail) are made through the member's electronic system;
(vii) All orders are entered through the designated branch office or an electronic system established by the member that is reviewable at the branch office;
(viii) Written supervisory procedures pertaining to supervision of sales activities conducted at the residence are maintained by the member; and
(ix) A list of the residence locations is maintained by the member;
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-11 - Initial registration

Current through Vol. 41, No. 20, July 1, 2024
(a)
Broker-dealer.
Each broker-dealer applying for initial
				  registration pursuant to Section 1-406 of the Securities Act:
(1) who is contemporaneously applying for
				  FINRA membership or who is a FINRA member:
(A) shall file with the CRD:
(i) a completed Form BD, including Schedules
				  A-E; and
(ii) the filing fee
				  specified in Section 1-612 of the Securities Act;
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-12 - Renewal

Current through Vol. 41, No. 20, July 1, 2024
(a)
Broker-dealer.
A FINRA
				  member shall renew its registration by submitting the renewal fee specified in
				  Section 1-612 of the Securities Act to the CRD. A non- FINRAmember shall renew
				  its registration by submitting to the Department an Application for Renewal of
				  Non- FINRA Broker-Dealer Registration and the renewal fee specified in Section
				  1-612 of the Securities Act.
(b)
Broker-dealer agent.
Agents of FINRA members shall renew their
				  registrations by submitting the renewal fee specified in Section 1-612 of the
				  Securities Act to the CRD. Agents of non- FINRA members shall renew their
				  registrations by submitting an Application for Renewal of Non- FINRA
				  Broker-Dealer Agent Registration and the renewal fee specified in Section 1-612
				  of the Securities Act to the Department.
(c)
Broker-dealer principal.
Principals of non- FINRA members shall renew their registrations by submitting
				  an Application for Renewal of Non- FINRA Broker-Dealer Principal Registration
				  and the renewal fee specified in Section 1-612 of the Securities Act to the
				  Department.
(d)
Issuer
				  agent.
Issuer agents shall renew their registrations by submitting an
				  Application for Renewal of Issuer Agent Registration and the renewal fee
				  specified in Section 1-612 of the Securities Act to the Department.
Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg
						2070, eff 8-1-13
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-13 - Agent transfer

Current through Vol. 41, No. 20, July 1, 2024
An agent who wishes to terminate his employment with one
					 registered broker-dealer and thereafter commence employment with another
					 broker-dealer may do so without causing a suspension in the agent's
					 registration if all of the following conditions are met:
(1) Both the terminating and employing
				  broker-dealers are members of the Financial Industry Regulatory Authority,
				  Inc.
(2) The transfer is effected
				  in accordance with the terms and conditions of the NASAA/ FINRA Central
				  Registration Depository Temporary Agent Transfer Program.
(3) The employing broker-dealer has executed
				  and filed an "Undertaking for Participation in the NASAA/ FINRA Central
				  Registration Depository TAT Program."
(4) The employing broker-dealer currently is
				  not subject to an order of the Administrator which would otherwise make this
				  section unavailable.
Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg
						2070, eff 8-1-13
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-14 - Agent termination

Current through Vol. 41, No. 20, July 1, 2024
(a)
Filing
				  requirement.
Termination notice pursuant to the requirements of Section
				  1-408.A of the Securities Act shall be promptly given by filing within thirty
				  (30) days of termination, a completed Uniform Termination Notice for Securities
				  Industry Registration, Form U5. The Form U5 for an agent terminating
				  registration with a FINRA member shall be filed with the CRD. The Form U5 for
				  agents terminating registration with a non-FINRA broker-dealer shall be filed
				  with the Department.
(b)
Responsibility for filing.
A completed Form U5 signed by the
				  employer will be accepted as fulfilling the statutory requirements of both
				  parties. Upon verification that the Form U5 has not been filed by the
				  broker-dealer, the agent shall notify the Department in writing of said
				  termination.
(c)
Amendments.
If the information contained in a Form U5 becomes
				  inaccurate or incomplete, the employer shall promptly file a correcting
				  amendment after learning of the facts or circumstances giving rise to the
				  amendment.
(d)
Effect of
				  failure to file.
In the event of termination, the filing of a future
				  application for registration shall not be considered complete until compliance
				  with the termination notice requirements of Section 1-408.A and this section.
Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg
						2070, eff 8-1-13
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-15

Current through Vol. 41, No. 20, July 1, 2024
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-16 - Examination requirements for agents and for principals of non-FINRA member broker-dealers

Current through Vol. 41, No. 20, July 1, 2024
(a)
Examination requirement.
Proof of compliance with the examination requirements of this Section is prerequisite to a complete filing for registration under the Securities Act.
(b)
Examination.
Each applicant for registration as a broker-dealer agent, issuer agent, or principal of a non-FINRA member broker-dealer shall, unless covered by subsection (g), have passedwithin four (4) years of the date of application the Securities Industry Essentials examination (SIE) and within two (2) years of the date of application the other applicable examinations for the desired category of registrationas set forth in subsection (d) or (e). The examinations shall consist of a qualification examination(s) applicable to the category of registration applied for and a uniform state law examination. The Administrator adopts the examinations administered by FINRA as applicable to each individual registrant by category of registration as the required examinations.
(c)
Limitations on licenses.
The activities of each person registered as an agent are limited to the corresponding category for which they are qualified by examination, unless waived, and for which they are registered under the Securities Act.
(d)
Examination categories.
Examination categories for agents are as follows
(1) General securities or government securities - FINRA Members: - SIE; Series 7; and Series 63 or 66
(2) General securities - Non-FINRA Members/Issuers - SIE; Series 7; and Series 63 or 66
(3) Investment company and variable contract products - SIE; Series 6; and Series 63 or 66
(4) Direct participation programs - SIE; Series 22; and Series 63 or 66
(5) Municipal securities - Series 7; Series 52; and Series 63 or 66
(6) Investment banking representative - SIE; Series 79; and Series 63 or 66
(7) Securities Trader - SIE; Series 57; and Series 63 or 66
(8) Limited Representative - Private Securities Offerings - SIE: Series 82; and Series 63 or 66
(9) Research Analyst - SIE; Series 86; Series 87; and Series 63 or 66
(10) Operations Professional - SIE; Series 99; and Series 63 or 66
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-17 - Net capital for broker-dealers

Current through Vol. 41, No. 20, July 1, 2024
(a)
General requirement.
All
				  broker-dealers registered under the Securities Act shall at all times have and
				  maintain net capital of no less than the highest minimum requirement applicable
				  to each broker-dealer as established by the SEC in 17 CFR 240.15c3 -
				  1.
(b)
Calculation of "net
				  capital. "
As used in this subchapter, net capital shall mean the net
				  worth of a broker-dealer calculated according to the formula established by the
				  SEC.
Added at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-18 - RESERVED

Current through Vol. 41, No. 20, July 1, 2024
Reserved at 21 Ok Reg
					 2532, eff 7-1-04
Oklahoma Administrative Code › Title 660 - Department of Securities › Chapter 11 - Oklahoma Uniform Securities Act of 2004 › Subchapter 5 - Broker-Dealers and Agents › Part 3 - LICENSING PROCEDURES › Section 660:11-5-19 - Piecemeal filings

Current through Vol. 41, No. 20, July 1, 2024
An application for initial registration or renewal of
					 registration as a broker-dealer, broker-dealer agent, broker-dealer principal
					 or issuer agent shall not be deemed to have been filed until all of the
					 documentation required by
					 660:11-5-11
					 or
					 660:11-5-12 is submitted,
					 or is otherwise made available, to the Department and payment of the proper
					 fees is made. Such documentation shall be in completed form.
Added at 21 Ok Reg
					 2532, eff 7-1-04