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Oklahoma Administrative Code (Last Updated: March 11, 2021) |
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TITLE 660. Department of Securities |
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Chapter 11. Oklahoma Uniform Securities Act of 2004 |
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Subchapter 11. Exemptions From Securities Registration |
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Part 7. FEDERAL COVERED SECURITIES |
SECTION 660:11-11-61. Regulation D Rule 506 federal covered security notice filing
Latest version.
- (a) Notice requirement. Issuers offering a security in this state in reliance upon Section 1-301.1 of the Securities Act by reason of compliance with Regulation D, Rule 506, adopted by the SEC, shall be required to file a notice with the Administrator pursuant to the authority of Section 1 302.C. of the Securities Act if a sale of a security in this state occurs as a result of such offering. Such notice shall be filed no later than fifteen (15) days after the first sale of a security in this state for which a notice is required.(b) Content of notice filing. Each required notice shall include the following:(1) one copy of the notice of sales on Form D as most recently filed with the SEC;(2) the notice filing fee required by Section 1-612.A.19. of the Securities Act.