SECTION 660:11-7-1. Purpose

Latest version.

The rules in this subchapter are adopted to provide procedures for complying with the provisions of the Securities Act relating to the registration of investment advisers and investment adviser representatives and the submission of notice filings by SEC covered investment advisers, and to establish post-registration requirements and standards of ethical practices for investment advisers and investment adviser representatives.

[Source: Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg 2066, eff 8-1-13]

                    
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