2018 RULE CHANGES

TITLE 660. DEPARTMENT OF SECURITIES
 
The following Permanent Rule Document includes the finally adopted rules and amendments located within Chapter 11 of the Oklahoma Administrative Code that will be effective as of November 1, 2018:
 
CHAPTER 11. OKLAHOMA UNIFORM SECURITIES ACT OF 2004
 
Subchapter 5. Broker-Dealers and Agents
  Part 3. Licensing Procedures
    660:11-5-16. Qualification examination requirements [AMENDED]
    660:11-5-21. Supplemental disclosures [NEW]
    660:11-5-22. Private offering issuer agent exemption [NEW]
    660:11-5-23. Coordinated limited offering issuer agent exemption [NEW]
    660:11-5-24. Oklahoma Accredited Investor issuer agent exemption [NEW]
    660:11-5-25. Registration relief for military service members and their spouses [NEW]
  Part 7. Record Keeping and Ethical Standards
    660:11-5-41. Books and records requirements for broker-dealers [AMENDED]
Subchapter 7. Investment Advisers and Investment Adviser Representatives
  Part 1. General Provisions
    660:11-7-2. Definitions [AMENDED]
  Part 3. Licensing Procedures
    660:11-7-11. Initial registration [AMENDED]
    660:11-7-13. Qualification examination requirements [AMENDED]
    660:11-7-18. Oil and gas professional exclusion [NEW]
    660:11-7-19. Registration relief for military service members and their spouses [NEW]
    660:11-7-20 Supplemental disclosures [NEW]
  Part 5. Reporting Requirements
    660: 11-7-31. Post-registration reporting requirements [AMENDED]
  Part 7. Record Keeping and Ethical Standards
    660:11-7-41. Record keeping requirements [AMENDED]
    660:11-7-42. Standards of ethical practices [AMENDED]
    660:11-7-43. Disclosure requirements [AMENDED]
    660:11-7-48. Custody requirements for investment advisers [AMENDED]
Subchapter 11. Exemptions from Securities Registration
  Part 5. Exempt Transactions
    660:11-11-40. Manual exemption [AMENDED]
    660:11-11-43. Coordinated limited offering exemption [AMENDED]