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CHAPTER 11. OKLAHOMA UNIFORM SECURITIES ACT OF 2004
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| Subchapter 5. Broker-Dealers and Agents |
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Part 3. Licensing Procedures |
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660:11-5-16. Qualification examination requirements [AMENDED] |
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660:11-5-21. Supplemental disclosures [NEW] |
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660:11-5-22. Private offering issuer agent exemption [NEW] |
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660:11-5-23. Coordinated limited offering issuer agent exemption
[NEW] |
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660:11-5-24. Oklahoma Accredited Investor issuer agent exemption
[NEW] |
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660:11-5-25. Registration relief for military service members and
their spouses [NEW] |
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Part 7. Record Keeping and Ethical Standards |
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660:11-5-41. Books and records requirements for broker-dealers
[AMENDED] |
| Subchapter 7. Investment Advisers and Investment Adviser
Representatives |
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Part 1. General Provisions |
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660:11-7-2. Definitions [AMENDED] |
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Part 3. Licensing Procedures |
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660:11-7-11. Initial registration [AMENDED] |
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660:11-7-13. Qualification examination requirements [AMENDED] |
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660:11-7-18. Oil and gas professional exclusion [NEW] |
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660:11-7-19. Registration relief for military service members and
their spouses [NEW] |
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660:11-7-20 Supplemental disclosures [NEW] |
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Part 5. Reporting Requirements |
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660: 11-7-31. Post-registration reporting requirements [AMENDED] |
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Part 7. Record Keeping and Ethical Standards |
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660:11-7-41. Record keeping requirements [AMENDED] |
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660:11-7-42. Standards of ethical practices [AMENDED] |
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660:11-7-43. Disclosure requirements [AMENDED] |
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660:11-7-48. Custody requirements for investment advisers [AMENDED] |
| Subchapter 11. Exemptions from Securities Registration |
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Part 5. Exempt Transactions |
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660:11-11-40. Manual exemption [AMENDED] |
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660:11-11-43. Coordinated limited offering exemption [AMENDED] |
