Oklahoma Administrative Code (Last Updated: March 11, 2021) |
TITLE 660. Department of Securities |
Chapter 11. Oklahoma Uniform Securities Act of 2004 |
Subchapter 5. Broker-Dealers and Agents |
Part 7. RECORD KEEPING AND ETHICAL STANDARDS |
SECTION 660:11-5-41. Books and records requirements for broker-dealers |
SECTION 660:11-5-42. Standards of ethical practices for broker-dealers and their agents |
SECTION 660:11-5-42.1. Standards of ethical practices--issuer agents |
SECTION 660:11-5-43. Examination of broker-dealers |
SECTION 660:11-5-44. [Reserved] |
SECTION 660:11-5-45. Financial statements for broker-dealers |