Commission Reports | Oklahoma Department of Securities

Agenda Jan 2026 Corporate Financial Sep Dec 2025 Enforcement Sep Dec 2025 Financials As of Dec 2025 Investor Education and Operations Staff Sep Dec 2025 Minutes Sept 2025 Professional Registartions and Compliance Sep Oct 2025 Professional Registrations and Compliance Nov Dec 2025 Summary of Proposed Rule Amendments

Corporate Finance July 2026 Enforcement July 2026 Financials July 2026 InvestorEducation And Operations Meeting Minutes 01 20 2026 Mission Support July 2026 Registrations and Compliance July 2026 Special Meeting Agenda August 2026

Agenda Jan 2025 Corporate Finance Nov Dec 2024 Enforcement Jul Dec 2024 Examinations Jul Dec 2024 Financials as of Dec 2024 Firms and Professionals Aug 2024 Firms and Professionals Dec 2024 Firms and Professionals Jul 2024 Firms and Professionals Nov 2024 Firms and Professionals Oct 2024 Firms and Professionals Sep 2024 Investor Education and Operations Minutes Jul 2024 Minutes Special Meeting Oct 2024 ODS FY24 Annual Report Summary of Proposed Rule Amendments 12 16 24

Agenda Apr 2025 Corporate Finance Jan Feb 2025 Enforcement Jan Feb 2025 Examinations Jan Feb 2025 Financials as of Feb 2024 Firms and Professionals Feb 2025 Firms and Professionals Jan 2025 Investor Education and Operations Mar 2025 Minutes Jan 2025

Agenda July 2025 Corporate Finance Mar Jun 2025 Enforcement Mar Jun 2025 Examinations Mar Jun 2025 Financials as of Apr 2025 Financials as of Jun 2025 Firms & Professional Apr 2025 Firms & Professionals Jun 2025 Firms & Professionals Mar 2025 Firms & Professionals May 2025 Investor Education and Operations Jun 2025 Minutes Apr 2025 Rule Amendments Effective August 15, 2025

AMENDED SPECIAL MEETING AGENDA Sep 2025 Corporate Finance Jul Aug 2025 Enforcement Aug 2025 Examinations Jul Aug 2025 Financials Aug 2025 Firms & Professionals Aug 2025 Firms & Professionals Jul 2025 Investor Education and Operations Jul 2025 Minutes Jul 2025

FY2025 Annual Report Oklahoma Securities Commission 630

Accepted 12 21 23 Office of Admin Rules OK Sec of State Docket Agenda Feb 2024 Corporate Finance as of December 2023 Enforcement Nov Dec 2023 Examinations Nov Dec 2023 Financials as of December 2023 Firms & Professionals December 2023 Firms & Professionals November 2023 Investor Education Nov Dec 2023 Minutes 12 5 23 Mission Support as of December 2023 OK Dept of Securities Employee Position Manual OK Securities Commission Procedure Manual

Agenda Jul 2024 Corporate Finance as of Jun 2024 Enforcement Jan Jun 2024 Examinations Jan Feb 2024 Examinations Mar Apr 2024 Examinations May Jun 2024 Financials as of Jun 2024 Firms Professionals as of Apr 2024 Firms Professionals as of Feb 2024 Firms Professionals as of Jan 2024 Firms Professionals as of Jun 2024 Firms Professionals as of Mar 2024 Firms Professionals as of May 2024 Minutes Feb 2024 Mission Support Jan Apr 2024 Mission Support May Jun 2024 ODS Summary of Rule Changes Eff August 15 2024

Agenda Oct 2024

FY2024 Annual Report Oklahoma Securities Commission 630

Agenda Mar 2023 Corporate Finance as of Feb 2023 Enforcement Jan Feb 2023 Examinations Jan Feb 2023 Financials as of Feb 2023 Investor Education Jan Feb 2023 Minutes Jan 2023 Mission Support Operations Jan Feb 2023

Enforcement Mar Apr 2023 Examinations Mar Apr 2023 Investor Education Mar Apr 2023 Mission Support Operations Mar Apr 2023

2023 Investment Adviser Examination Assessment Agenda Jul 2023 An Act Enrolled Senate Bill No. 1091 Corporate Finance as of Jun 2023 Enforcement May Jun 2023 Examinations May Jun 2023 Financials as of Jun 2023 Investor Education May Jun 2023 Minutes Mar 2023 Mission Support Operations May Jun 2023 Proposed Contents of OSC Procedure Manual July 27, 2023 Senate Bill 985 Summary of Senate Bill 1091

Agenda Sep 2023 Corporate Finance as of August 31, 2023 Enforcement Jul Aug 2023 Examinations Jul Aug 2023 Firms and Professionals Aug 31, 2023 Firms and Professionals Jul 2023 Investor Education Jul Aug 2023 Minutes Jul 2023 Mission Support Operations Jul Aug 2023

Agenda Dec 2023 Corporate Finance as of Oct 2023 Enforcement Sep Oct 2023 Examinations Sep Oct 2023 Financials as of Oct 2023 Firms Professionals Oct 2023 Firms Professionals Sep 2023 Investor Education Sep Oct 2023 Minutes Sep 2023 Mission Support Operations as of Oct 2023

Agenda Feb 2024 Corporate Finance as of December 2023 Enforcement Nov Dec 2023 Examinations Nov Dec 2023 Financials as of December 2023 Firms & Professionals December 2023 Firms & Professionals November 2023 Investor Education Nov Dec 2023 Minutes 12 5 23 Mission Support as of December 2023

FY2023 Annual Report Oklahoma Securities Commission 630

Corporate Finance Jan Feb 2022 Enforcement Jan Feb 2022 Examinations Jan Feb 2022 Financials Feb 2022 Firms and Professionals Feb 2022 Firms and Professionals Jan 2022 Investor Education Jan Feb 2022 Jan Cancellation Operations Jan Feb 2022

Agenda May 2022 Corporate Finance Apr 2022 Enforcement Mar Apr 2022 Examinations Mar Apr 2022 Financial Apr 2022 Firms and Professionals Apr 2022 Firms and Professionals Mar 2022 Investor Education Mar Apr2022 Mar Cancellation Minutes Dec 2021 Operations Mar Apr 2022

Agenda Jul 2022 AnnualFinancialStmt Corporate Finance Jun 2022 Enforcement May Jun 2022 Examinations May Jun 2022 Financials Jun 2022 Firms and Professionals Jun 2022 Investor Education May Jun 2022 Minutes May 2022 Operation Jun 2022

11 1 22 Changes to Title 71 9 15 22 Changes to ODS Rules Agenda Oct 2022 Corporate Finance As of Aug 2022 Enforcement Jul Aug 2022 Examinations As of Aug 2022 Financials As of Aug 2022 Firms & Professionals Aug 2022 Firms & Professionals Jul 2022 Investor Education Jul Aug 2022 Minutes Jul 2022

Agenda 1 19 23 Corporate Finance as of Dec 31, 2022 Enforcement Sep Dec 2022 Examinations Sep Dec 2022 Financials as of Dec 31, 2022 Firms & Professionals Oct 2022 Firms & Professionals Sep 2022 Investor Educational Report Set Dec 2022 Minutes Mission Support Nov Dec 2022 Mission Support Sep Oct 2022

Agenda Mar 2021 Corporate Finance as of Feb 2021 Enforcement Report Jan Feb 2021 Exams Nov Feb 2021 Financial Report Feb 2021 Firms Professionals as of Feb 2021 Firms Professionals as of Jan 2021 InvestEd Jan Feb 2021 Minutes Nov 2020 Meeting

Agenda May 2021 Corporate Finance as of Apr 2021 Enforcement Report Mar Apr 2021 Enrolled Senate Bill No 568 Exams Mar Apr 2021 Financials as of Apr 2021 Firms & Professionals as of Apr 2021 Firms & Professionals as of Mar 2021 InvestEd Mar Apr 2021 Minutes Mar 2021 Meeting

Agenda July 2021 Enforcement Report May Jun 2021 Exams with Deficiencies FY21 Exams May Jun 2021 Financials as of Jun 2021 Firms & Professionals as of Jun 2021 Firms & Professionals as of May 2021 InvestEd May Jun 2021 Issuer AsOfJun 2021 Title 660 11 11 54

Agenda Sep 2021 Enforcement Report Jul Aug 2021 Exams Jul Aug 2021 Financials as of Aug 2021 Firms & Professionals Aug 2021 Firms & Professionals Jul 2021 InvestEd Jul Aug 2021 Issuer as of Aug 2021 Minutes May 2021 Meeting Title 660 11 11 54

Agenda Dec 2021 Enforcement Report Sep Oct 2021 Exams Sep Oct 2021 Financials as of Oct 2021 Firms & Professionals Oct 2021 Firms & Professionals Sep 2021 InvestEd Sep Oct 2021 Issuer as of Oct 2021 Minutes Sep 2021 Meeting Operations Sep Oct 2021

Agenda May 2020 Enforcement Report Jan Feb 2020 Exams Jan Feb 2020 Financial Report February 2020 Firms Professionals Feb 2020 Firms Professionals Jan 2020 Investor Education January and February 2020 Issuer AsOfFeb 2020

Agenda May 2020 Annual Financial Statement and Auditor Reports 2019 August Special Meetings Minutes Enforcement Report Mar Apr 2020 Exams Mar Apr 2020 Financial Report April 2020 Firms Professionals Apr 2020 Firms Professionals Mar 2020 Investor Education March and April 2020 Issuer AsOfApr 2020 Minutes Jan 2020 Meeting

Agenda July 2020 Enforcement Report May Jun 2020 Exams May Jun 2020 Financial Report Jun 2020 Firms Professionals Jun 2020 Firms Professionals May 2020 Investor Education May and Jun 2020 Issuer AsOfJun 2020 May and June 2020 Commission Minutes May 2020 Meeting

Agenda Sep 2020 Enforcement Report Jul Aug 2020 Exams Jul Aug 2020 Financial Report Aug2020 Firms Professionals Aug 2020 Firms Professionals Jul 2020 FY 2021 2026 Strategic Plan Instructions Investor Education Jul and Aug2020 Issuer AsOfAug 2020 Minutes Jul 2020 Meeting Strategic Plan FY21 FY26 June 17 2020

Agenda Nov 2020 Enforcement Report Sep Oct 2020 Exams Sep Oct 2020 Financial Report Oct2020 Firms Professionals Oct 2020 Firms Professionals Sep 2020 Investor Education Sep and Oct2020 Issuer AsOfOct 2020 Minutes Sep 2020 Meeting

Agenda Mar 2021 Corporate Finance as of Feb 2021 Enforcement Report Nov Dec 2020 Exams Nov Feb 2021 Financials Nov Dec 2020 Firms Professionals as of Dec 2020 Firms Professionals as of Nov 2020 InvestEd Nov Dec 2020 Minutes Nov 2020 Meeting

Agenda Mar 2019 Enforcement Jan Feb 2019 Exams Jan Feb 2019 Financials AsOfFeb 2019 Firms Professionals Feb 2019 Firms Professionals Jan 2019 Issuer AsOfFeb 2019 Minutes Jan 2019 Meeting

Agenda May 2019 Enforcement Mar Apr 2019 Exams Mar Apr 2019 Financials AsOfApr 2019 Firms Professionals Apr 2019 Firms Professionals Apr 2019.1 Firms Professionals Mar 2019 Firms Professionals Mar 2019.1 Issuer AsOfApr 2019 Minutes Mar 2019 Meeting

Agenda Jul Enforcement May Jun 2019 Exams May Jun 2019 Exams May Jun 2019.1 Financials AsOfJun 2019 Firms Professionals Jun 2019 Firms Professionals Jun 2019.1 Firms Professionals May 2019 Firms Professionals May 2019.1 InvestEd FY 2019 Issuer AsOfJun 2019 Issuer AsOfJun 2019.1 Minutes May 2019 Meeting Minutes May 2019 Meeting.1

Agenda Sept 2019 Enforcement Report Jul Aug 2019 Exams IA Survey Results Sept 2019 Exams Jul Aug 2019 Financials AsOfJAug 2019 Firms Professionals Aug 2019 Firms Professionals Jul 2019 InvestEd Jul Aug 2019 Investment Adviser Inquiry Issuer AsOfAug 2019 Minutes Aug 1, 2019 Sepecial Meeting Minutes Aug 7, 2019 Sepecial Meeting Minutes Jul 2019 Meeting ODS Claim Payment Detail for Jul Aug 2019 OK Based Issuers for Jul Aug 2019 OMES Claim Denied OUSA Section 1 608

Agenda Nov 2019 Agenda Nov2019 Enforcement Report Sep Oct 2019 Enforcement Sep Oct2019 Exams Sep Oct 2019 Exams Sep Oct2019 Financials AsOfJOct 2019 Firms Professionals Oct 2019 Firms Professionals Sep 2019 Firms Professionals Oct2019 Firms Professionals Sep2019 InvestEd Sep Oct 2019 InvestEd AsOfOct2019 Issuer AsOfOct 2019 Issuer AsOfOct2019 Minutes Oct 2019 Meeting Minutes Oct2019 Meeting

Agenda Jan 2020 Agenda Jan 2020 Enforcement Report Nov Dec 2019 Exams Nov Dec 2019 Financials AsOfDec 2019 Firms Professionals Dec 2019 Firms Professionals Nov 2019 InvestEd Nov Dec 2019 Issuer AsOfDec 2019 Minutes Nov 2019 Meeting

Agenda Mar 2018 Enforcement Jan Feb 2018 Exams Jan Feb 2018 Financials AsOfFeb 2018 Firms Professionals Feb 2018 Firms Professionals Jan 2018 Issuer AsOfFeb 2018 Minutes Jan 2018 Meeting

Agenda June 2018 Enforcement Mar Apr 2018 Exams Mar Apr 2018 Financials as of Apr 2018 Firms Professionals Apr 2018 Firms Professionals Mar 2018 Issuer as of Apr 2018 Minutes Mar 2018 Meeting

Agenda Aug 2018 Enforcement May Jun 2018 Exams May Jun 2018 Financials as of Jun 2018 Firms Professionals Jun 2018 Firms Professionals May 2018 Issuer as of Jun 2018 Minutes Jun 2018 Meeting

Agenda Sep 2018 Enforcement Jul Aug 2018 Exams Jul Aug 2018 Financials as of Aug 2018 Firms Professionals Aug 2018 Firms Professionals Jul 2018 Issuer as of Aug 2018 Minutes Aug 2018 Meeting

Agenda Nov 2018 Enforcement Sep Oct 2018 Exams Sep Oct 2018 Financials as of Oct 2018 Firms Professionals Oct 2018 Firms Professionals Sep 2018 Issuer as of Oct 2018 Minutes Sep 2018 Meeting

Agenda Jan 2019 Enforcement Nov Dec 2018 Exams Nov Dec 2018 Financials as of Dec 2018 Firms Professionals Dec 2018 Firms Professionals Nov 2018 Issuer as of Dec 2018 Minutes Nov 2018 Meeting

Agenda Mar 2017 Enforcement Jan Feb 2017 Exams Jan Feb 2017 Financials AsOfFeb 2017 Firms Professionals Feb 2017 Firms Professionals Jan 2017 Issuer AsOfFeb 2017 Minutes Jan 2017 Meeting

Agenda Jun 2017 Enforcement Mar Apr 2017 Exams Mar Apr 2017 Financials AsOfApr 2017 Firms Professionals Apr 2017 Firms Professionals Mar 2017 Issuer AsOfApr 2017 Minutes Mar 2017 Meeting

Agenda Jul 2017 Enforcement May Jun 2017 Exams May Jun 2017 Financials AsOfJun 2017 Firms Professionals Jun 2017 Firms Professionals May 2017 Issuer AsOfJun 2017 Minutes Jun 2017 Meeting

Agenda Sep 2017 Enforcement Jul Aug 2017 Exams Jul Aug 2017 Financials AsOfAug 2017 Firms Professionals Aug 2017 Firms Professionals Jul 2017 Issuer AsOfAug 2017 Minutes Jul 2017 Meeting

Agenda Nov 2017 Enforcement Sep Oct 2017 Exams Sep Oct 2017 Financials AsOfOct 2017 Firms Professionals Oct 2017 Firms Professionals Sep 2017 Issuer AsOfOct 2017 Minutes Sep 2017 Meeting

Agenda Jan 2018 Enforcement Nov Dec 2017 Exams Nov Dec 2017 Financials AsOfDec 2017 Firms Professionals Dec 2017 Firms Professionals Nov 2017 Issuer AsOfDec 2017 Minutes Nov 2017 Meeting

Agenda Mar 2016 Enforcement Jan Feb 2016 Exams Jan Feb 2016 Financials AsOfFeb 2016 Firms Professionals Feb2016 Firms Professionals Jan 2016 Issuer AsOfFeb 2016 Minutes Jan 2016 Meeting

Agenda May 2016 Enforcement Mar Apr 2016 Exams Mar Apr 2016 Firms Professionals Apr 2016 Firms Professionals Mar 2016 Issuer AsOfApr 2016 Minutes Mar 2016 Meeting

Agenda July 2016 Enforcement May Jun 2016 Exams May Jun 2016 Financials AsOfJun 2016 Firms Professionals Jun 2016 Firms Professionals May 2016 Issuer AsOfJun 2016 Minutes May 2016 Meeting

Agenda Sep 2016 Enforcement Jul Aug 2016 Exams Jul Aug 2016 Financials AsOfAug 2016 Firms Professionals Aug 2016 Firms Professionals Jul 2016 Issuer AsOfAug 2016

Agenda Dec 2016 Enforcement Sep Oct 2016 Exams Sep Oct 2016 Firms Professionals Oct 2016 Firms Professionals Sep 2016 Issuer AsOfOct 2016 Minutes Sep 2016 Meeting

Agenda Jan 2017 Enforcement Nov Dec 2016 Exams Nov Dec 2016 Financials AsOfDec 2016 Firms Professionals Dec 2016 Firms Professionals Nov 2016 Issuer AsOfDec 2016 Minutes Dec 2016 Special Meeting

Agenda Mar 2015 Enforcement Jan Feb 2015 Exams Jan Feb 2015 Financials AsOfFeb 2015 Firms Professionals Feb2015 Firms Professionals Jan 2015 Issuer AsOfFeb 2015 Minutes Jan 2015 Meeting

Agenda July 2015 Enforcement Mar Jun 2015 Exams Mar Apr 2015 Exams May Jun 2015 Financials AsOfJun 2015 Firms Professionals Apr 2015 Firms Professionals Jun 2015 Firms Professionals Mar 2015 Firms Professionals May 2015 Issuer AsOfJun 2015 Minutes Mar 2015 Meeting

Agenda Sep 2015 Enforcement Jul Aug 2015 Exams Jul Aug 2015 Financials AsOfAug 2015 Firms Professionals Aug 2015 Firms Professionals Jul 2015 Issuer AsOfAug 2015 Minutes Jul 2015 Meeting

Agenda Nov 2015 Enforcement Sep Oct 2015 Exams Sep Oct 2015 Financials AsOfOct 2015 Firms Professionals Oct 2015 Firms Professionals Sep 2015 Issuer AsOfOct 2015 Minutes Sep 2015 Meeting

Agenda Jan 2016 Enforcement Nov Dec 2015 Exams Nov Dec 2015 Financials AsOfDec 2015 Firms Professionals Dec 2015 Firms Professionals Nov 2015 Issuer AsOfDec 2015 Minutes Nov 2015 Meeting

Agenda Mar 2014 Enforcement Jan Feb 2014 Exams Jan Feb 2014 Financials AsOfFeb 2014 Firms Professionals AsOfFeb 2014 Issuer AsOfFeb 2014 Minutes Jan 2014 Meeting

Agenda May 2014 Enforcement Mar Apr 2014 Exams Mar Apr 2014 Firms Professionals Apr 2014 Firms Professionals Mar 2014 Issuer AsOfApr 2014 Minutes Mar 2014 Meeting

Agenda Enforcement Jul Aug 2014 Enforcement May Jun 2014 Exams Jul Aug 2014 Exams May Jun 2014 Financials AsOfAug 2014 Financials AsOfJun 2014 Firms Professionals Aug 2014 Firms Professionals Jul 2014 Firms Professionals Jun 2014 Firms Professionals May 2014 Issuer AsOfAug 2014 Minutes May 2014 Meeting

Agenda Enforcement Sep Oct 2014 Exams Sep Oct 2014 Financials AsOfOct 2014 Firms Professionals Oct 2014 Firms Professionals Sep 2014 Issuer AsOfOct 2014 Minutes Sep 2014 Meeting

Agenda Jan 2015 Enforcement Nov Dec 2014 Exams Nov Dec 2014 Financials AsOfDec 2014 Firms Professionals Dec 2014 Firms Professionals Nov 2014 Issuer AsOfDec 2014 Minutes Dec 2014 Minutes Nov 2014

Agenda Mar 2013 Enforcement Jan Feb 2013 Exams Jan Feb 2013 Financials AsOfFeb 2013 Firms Professionals Feb 2013 Firms Professionals Jan 2013 Issuer AsOfFeb 2013 Minutes Jan 2013 Meeting

Agenda May 2013 Enforcement Mar Apr 2013 Exams Mar Apr 2013 Financials AsOfApr 2013 Firms Professionals Apr 2013 Firms Professionals Mar 2013 Issuer AsOfApr 2013 Minutes Mar 2013 Meeting

Agenda July 2013 Enforcement May Jun 2013 Exams May June 2013 FinancialsAsOfJun 2013 Firms Professionals Jun 2013 Firms Professionals May 2013 Issuer AsOfJun 2013 Minutes May 2013 Meeting

Agenda Sep 2013 Enforcement July Aug 2013 Exams July Aug 2013 FinancialsAsOfAug 2013 Firms Professionals Aug 2013 Firms Professionals July 2013 Issuer AsOfAug 2013 Minutes July 2013 Meeting

Agenda Nov 2013 Enforcement Sep Oct 2013 Exams Sep Oct 2013 Financials AsOfOct 2013 Firms Professionals Oct 2013 Firms Professionals Sep 2013 Issuer AsOfOct 2013 Minutes Sep 2013 Meeting

Agenda Jan 2014 Enforcement Nov Dec 2013 Exams Nov Dec 2013 Financials AsOfDec 2013 Firms Professionals Dec 2013 Firms Professionals Nov 2013 Issuer AsOfDec 2013 Minutes Nov 2013 Meeting

Agenda Jul 2012 Enforcement Jun 2012 Enforcement May 2012 Exams May Jun 12 Financials AsOfJun 2012 Firms Professionals Jun 2012 Firms Professionals May 2012 Issuer AsOfJun 2012 Minutes May 2012 Meeting

Agenda Sep 2012 Enforcement July Aug 12 Exams Jul Aug 12 Financials AsOfAug 2012 Firms Professionals Aug 2012 Firms Professionals Jul 2012 Issuer AsOfAug 2012 Minutes Jul 2012 Meeting Revised Enforcement July Aug 12

Agenda Dec 2012 Enforcement Sep Oct 12 Exams Sep Oct 12 Financials AsOfOct 12 Firms Professionals Oct 2012 Firms Professionals Sep 2012 Issuer AsOfOct 2012 Minutes Sep 2012 Meeting

Agenda Jan 2013 Enforcement Nov Dec 12 Exams Nov Dec 12 Financials AsOfDec 12 Firms Professionals Dec 2012 Firms Professionals Nov 2012 Issuer AsOfDec 2012 Minutes Dec 2012 SpecialMeeting

Agenda May 2012 Enforcement Apr 2012 Enforcement Dec 2011 Enforcement Feb 2012 Enforcement Jan 2012 Enforcement Mar 2012 Enforcement Nov 2011 Exams Mar Apr 12 Exams Nov Dec 11 Jan Feb 12 Financials AsOfApr 2012 Financials AsOfFeb 2012 Firms Professionals Apr 2012 Firms Professionals Dec 2011 Firms Professionals Feb 2012 Firms Professionals Jan 2012 Firms Professionals Mar 2012 Firms Professionals Nov 2011 Issuer AsOfApr 2012 Minutes Nov 2011 Meeting