SECTION 660:11-5-21. Supplemental disclosures

Latest version.

Every broker-dealer and agent registered under the Securities Act must keep their application current at all times by promptly filing amendments supplementing their application as required by Section 1-406.B of the Securities Act and the instructions to the Form U-5 and Form U-4. "Promptly" shall mean not later than thirty (30) days after learning of the facts or circumstances giving rise to the amendment.

[Source: Added at 35 Ok Reg 2009, eff 11-1-18]

                    
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