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204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742
Act & Rules
Commission Reports
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SEC's IA Public Disclosure Site
FINRA's Broker Check Site
Recent Enforcement Actions
Hafen, Herbert H. 
Adobe Image Final Order    Filed: 3/11/2020
Solium Financial Services, LLC 
Adobe Image Consent Order [Solium Financial Services, LLC]    Filed: 2/27/2020
Nilson, Melissa 
Adobe Image Agreement [Melissa Nilson]    Filed: 2/25/2020
Styers, Grant Taylor 
Adobe Image Agreement [Grant Taylor Styers]    Filed: 2/21/2020
Manna Robotics and Smalls, Eric Christian 
Adobe Image Order Vacating Cease and Desist Order as to MannaRobotics, Co.    Filed: 2/20/2020
Dick, Carlton Jerome 
Adobe Image Agreement [Carlton Jerome Dick]    Filed: 1/31/2020
Chappelwood Financial Services Corp. 
Adobe Image Agreement [Chappelwood Financial Services Corp.]    Filed: 1/24/2020
Manna Robotics and Smalls, Eric Christian 
Adobe Image Order Designating Hearing Officer    Filed: 1/14/2020
Adobe Image Scheduling Order    Filed: 1/3/2020
Adobe Image ODS' Notice Regarding Scheduling Order    Filed: 1/2/2020
General Operations
Electronic Filings Mandate
Administrator Adopts Rules
The Administrator adopted the following new rules and amendments to existing rules for effectiveness on November 1, 2020. The rules, as adopted, must first receive approval of the Legislature and the Governor.
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All Enforcement Actions
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Information about Oklahoma Entities and old Stock Certificates
 4/7/2020 7:48:05 AM 
Required Notice as to Personally Identifiable Data