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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 5. Broker-Dealers and Agents |
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Part 3. LICENSING PROCEDURES |
| SECTION 660:11-5-11. Initial registration |
| SECTION 660:11-5-12. Renewal |
| SECTION 660:11-5-13. Agent transfer |
| SECTION 660:11-5-14. Agent termination |
| SECTION 660:11-5-15. Categories of registration |
| SECTION 660:11-5-16. Qualification examination requirements |
| SECTION 660:11-5-17. Net capital for broker-dealers |
| SECTION 660:11-5-18. [Reserved] |
| SECTION 660:11-5-19. Piecemeal filings |
| SECTION 660:11-5-20. Cross-border licensing exemption |
| SECTION 660:11-5-21. Supplemental disclosures |
| SECTION 660:11-5-22. Private offering issuer agent exemption |
| SECTION 660:11-5-23. Coordinated limited offering issuer agent exemption |
| SECTION 660:11-5-24. Oklahoma Accredited Investor issuer agent exemption |
| SECTION 660:11-5-25. Registration relief for military service members and their spouses |