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Corporate Finance

 

The Division of Corporate Finance is responsible for the registration or exemption of securities, business opportunities, takeovers and subdivided land offered in and/or from the state of Oklahoma, including the review of offering documents and sales material to be used for the offering. Corporate Finance also receives filings of the final documents for bonds, notes or other evidences of indebtedness of any public trust.

Examiners review applications for registration for compliance with applicable guidelines and to determine whether the offering documents contain adequate disclosure of material facts concerning the issuer and the securities or other products it intends to offer and sell. 

Listed below are some of the issues most often inquired about:

  • whether a particular security or other product is registered, or has been the subject of an investment company or exemption notice;
  • whether registration is required, or if an exemption is available for, a particular product or transaction;
  • the filing requirements for a registration, notice, request, or other filing; and,
  • the status of a particular filing.

While Corporate Finance does not act as a private attorney for investors, other inquiries not requiring a legal opinion concerning the various categories within the responsibility of Corporate Finance can be made by the general public or the securities industry by calling or writing to the Department.

 
For questions, please contact our Registrations Division at (405) 280-7700, and select option 2. You may also submit your question in writing.
 
Registration Requirements
 
IC Notice Requirements
 
Bus Op Requirements
 
Exemption Requirements
 
SCOR Requirements
 
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