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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.
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