SECTION 660:11-7-51. SEC covered investment adviser notice filing

Latest version.

(a)   Initial filing. A federal covered investment adviser making its initial notice filing in the state of Oklahoma pursuant to Section 1-405 of the Securities Act:
(1)   shall file with the IARD:
(A)   a new or amended Form ADV designating Oklahoma on Item 2.B of Part 1A; and
(B)   the investment adviser notice filing fee set forth in Section 1-612 of the Securities Act; and
(2)   shall comply with existing federal requirements with regard to the Part 2 of the Form ADV.
(b)   Renewal. Federal covered investment advisers who have made a notice filing pursuant to Section 1-405 of the Securities Act may renew their notice by submitting to the IARD the investment adviser notice filing fee set forth in Section 1-612 of the Securities Act.

[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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