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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 7. Investment Advisers and Investment Adviser Representatives |
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Part 3. LICENSING PROCEDURES |
| SECTION 660:11-7-11. Initial registration |
| SECTION 660:11-7-12. Renewal |
| SECTION 660:11-7-13. Qualification examination requirements |
| SECTION 660:11-7-14. Investment adviser representative termination |
| SECTION 660:11-7-15. Piecemeal filings |
| SECTION 660:11-7-16. Solicitor exemption |
| SECTION 660:11-7-17. Registration exemption for investment advisers to qualifying private funds. |
| SECTION 660:11-7-18. Oil and gas professional exclusion |
| SECTION 660:11-7-19. Registration relief for military service members and their spouses |
| SECTION 660:11-7-20. Supplemental disclosures |
| SECTION 660:11-7-21. Errors and omissions coverage |