Most of our employees are teleworking due to the COVID-19 pandemic. We ask for your patience as we all work through this crisis. Stay Safe!

Menu

204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742

 
Act & Rules
 
Commission Reports
 
Press Releases
 
Document Upload
 
SEC's IA Public Disclosure Site
 
FINRA's Broker Check Site
 
Investor Advisories
COVID-19 Related Early Withdrawals from Retirement Accounts ... 6/3/2020
 
Recent Press Releases
Securities Department Joins Task Force Cracking Down on COVID-19 Investment... 5/11/2020
COVID-19-Related Investment Schemes Anticipated ... 4/16/2020
Investors Cautioned About Making Sudden and Uninformed Decisions... 3/2/2020
   
Recent Enforcement Actions
Pentecost Capital Mgmt., Inc. 
Adobe Image Summary Order    Filed: 8/3/2020
Adobe Image Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearin    Filed: 8/3/2020
Manna Robotics and Smalls, Eric Christian 
Adobe Image Final Order to Cease and Desist    Filed: 7/27/2020
Gregory, Joe Lawrence and Blue Quail, Ltd. 
Adobe Image ODSí Response to Defendantís Motion to Strike    Filed: 7/16/2020
Manna Robotics and Smalls, Eric Christian 
Adobe Image L. Recommended Order Granting Motion for Order Directing Designated Facts be Taken as True and Motio    Filed: 7/14/2020
Empire Dispensary, Inc. and Christian, Shaun U. 
Adobe Image Dismissal With Prejudice as to Empire Dispensary Inc.    Filed: 7/2/2020
Dean Broker Exchange, LLC and Dean, Burton Clifford 
Adobe Image ODS' Motion to Deterrmine Restitution    Filed: 7/1/2020
Gregory, Joe Lawrence and Blue Quail, Ltd. 
Adobe Image Defendant's' Motion to Strike Improper Lien    Filed: 6/29/2020
Babaz, Paul David 
Adobe Image Agreement [Paul David Babaz]    Filed: 6/25/2020
Crypto Currency Software, Inc. and Ortuno, Jorge M. 
Adobe Image Response to Order to File Statments and Admissions [Alejandro Castaneda]    Filed: 6/24/2020
  
 
ADVISORIES FOR FIRMS/PROFESSIONALS
 
COVID-19 UPDATE
General Operations
Electronic Filings Mandate
Extension of Certain IA Deadlines
 
2020 RULEMAKING
Administrator Adopts Rules
 
Is Your Securities Professional Registered? Let's find out - Click here
 
All Enforcement Actions
 
Click here to file a complaint
 
Information about Oklahoma Entities and old Stock Certificates
 
 8/4/2020 11:19:39 PM 
 
   
Required Notice as to Personally Identifiable Data