Investment Company Notice Filing Requirements

The notice filing provisions of Oklahoma law to be followed by Investment Companies that are registered, or have filed a registration statement, under the Investment Company Act of 1940 provide for "class based" notice filing and can be found in sections 1-302(A) & (B) of the Oklahoma Uniform Securities Act 0f 2004 and 660:11-11-60 of the Rules of the Oklahoma Securities Commission and the Administrator of the Department of Securities. Such provisions have been made to simplify and make more uniform with other jurisdictions the investment company notice filing requirements. Set forth below is a brief summary of the provisions.
  • Each Notice filed shall be "class based" in that a separate notice must be filed for each class of security of an issuer to be offered in Oklahoma.
  • Each Notice filed shall provide for an Indefinite amount of sales of the described class of security.
  • No sales reports will need to be filed in connection with a Notice filed
  • Each Notice filed shall be accompanied by a notice filing fee of $500.00.
  • Each Notice filed will initially be effective for a one (1) year period of effectiveness.
  • Each Notice filed may be renewed annually for an additional one (1) year period of effectiveness by submitting a properly completed Form NF indicating the ODS File Number of the Notice for which renewal is requested and submission of the required $500.00 renewal filing fee on or before the expiration of the most recently effective notice period.
If you have questions regarding compliance with the notice provisions, please contact our Registrations Division at (405) 280-7700, and select option 2. You may also submit your question in writing.