Pursuant to Section 1-410.D of the Oklahoma Securities Act, the records of all Investment Advisers registered in Oklahoma are subject to periodic or for cause inspection by
a representative of the Oklahoma Department of Securities.
The subject areas covered by this inspection may contain, but will not be limited to, the following:
The common exam deficiencies discovered between July 1, 2018 and June 30, 2019 can be found in our most recent
Exam Deficiencies report.