Title 71. Securities
- §71-1-101. Short title.
- §71-1-102. Definitions.
- §71-1-103. References to federal statutes.
- §71-1-104. References to federal agencies.
- §71-1-105. Electronic records and signatures.
- §71-1-201. Exempt securities.
- §71-1-202. Exempt transactions.
- §71-1-203. Additional exemptions and waivers.
- §71-1-204. Denial, suspension of application, revocation, condition, or limitation of exemptions.
- §71-1-301. Securities registration requirement.
- §71-1-302. Federal covered security – Notice filing.
- §71-1-303. Securities registration by coordination.
- §71-1-304. Securities registration by qualification.
- §71-1-305. Registration filings.
- §71-1-306. Denial, suspension, or revocation of effectiveness of registration statement.
- §71-1-307. Waiver or modification.
- §71-1-308. Investment certificate issuers - Registration requirements.
- §71-1-401. Broker-dealer registration requirement and exemptions.
- §71-1-402. Agent registration requirement and exemptions.
- §71-1-403. Investment adviser registration requirement and exemptions.
- §71-1-404. Investment adviser representative registration requirement and exemptions.
- §71-1-405. Federal covered investment adviser registration requirement and exemptions.
- §71-1-406. Registration application - Time of becoming effective.
- §71-1-407. Succession and change in registration of broker-dealer or investment adviser.
- §71-1-408. Termination of employment or association of agent and investment adviser representative - Transfer of employment or association.
- §71-1-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- §71-1-410. Postregistration requirements.
- §71-1-411. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
- §71-1-501. General fraud.
- §71-1-502. Prohibited conduct in providing investment advice.
- §71-1-503. Evidentiary burden.
- §71-1-504. Filing of sales and advertising literature.
- §71-1-505. Misleading filings.
- §71-1-506. Misrepresentations concerning registration or exemption.
- §71-1-507. Qualified immunity.
- §71-1-508. Violations - Criminal penalties - Administrative fines.
- §71-1-509. Civil liability.
- §71-1-510. Rescission offers.
- §71-1-601. Administration.
- §71-1-602. Investigations and subpoenas.
- §71-1-603. Civil enforcement.
- §71-1-604. Administrative enforcement.
- §71-1-605. Rules, forms, orders, interpretative opinions, and hearings.
- §71-1-606. Administrative files and opinions.
- §71-1-607. Public records - Confidentiality.
- §71-1-608. Uniformity and cooperation with other agencies.
- §71-1-609. Commission review of order - Judicial review.
- §71-1-610. Jurisdiction.
- §71-1-611. Service of process.
- §71-1-612. Fees.
- §71-1-613. Availability of data for supervision of personnel - Sharing of data - Confidentiality.
- §71-1-701. Application of act to existing proceedings and rights.
- §71-414. Definitions.
- §71-415. Public announcement of take-over bid - Filing of required information - Hearings - Information to be filed - Costs.
- §71-416. Statutory procedure must be followed.
- §71-417. Discrimination prohibited.
- §71-418. Copies of information to be filed with certain regulatory bodies.
- §71-419. Liabilities, remedies and penalties.
- §71-420. Rules and regulations.
- §71-421. Exemptions.
- §71-451. Short title.
- §71-452. Definitions.
- §71-453. Effective take-over offer required - Registration statement - Suspension of take-over offer and hearing.
- §71-454. Solicitation materials - Filing - Prohibited use.
- §71-455. Fraudulent, deceptive and manipulative acts prohibited.
- §71-456. Actions of offeror - Limitations.
- §71-457. Powers of Administrator - Rules and forms - Exemptions from act.
- §71-458. Registration fee.
- §71-459. Violations - Cease and desist orders - Injunctions.
- §71-460. Violations - Penalty - Evidence.
- §71-461. Liability of offeror - Rights and remedies of seller.
- §71-462. Application of provisions of Oklahoma Securities Act.
- §71-601. Citation.
- §71-602. Definitions.
- §71-621. Registration - Violations.
- §71-622. Exemptions.
- §71-623. Additional exemptions.
- §71-624. Burden of proof.
- §71-625. Application for registration.
- §71-626. Public offering statements - Contents - Violations - Uses.
- §71-627. Orders - Application for registration - Filing of documents and information.
- §71-628. Denial of effectiveness to, suspension or revocation of effectiveness of registration.
- §71-631. Licenses - Exemptions - Term - Suspension, revocation or denial.
- §71-632. Application for license.
- §71-633. Records - Copies - Inspection - Reports - Examination - Rules and regulations.
- §71-634. Denial, revocation or suspension of license.
- §71-641. Fraud - Penalty.
- §71-642. Liens and encumbrances.
- §71-643. Contracts - Voiding - Rescinding - Revoking.
- §71-644. Notice to purchaser - Signatures - Rescission of contract.
- §71-651. Administration of Code - Personal use of information - Privileges and immunities.
- §71-652. Fees - Disposition.
- §71-653. Advertising.
- §71-654. Fraud - Filing of documents and information.
- §71-655. Presumptions - Fraud - Violations.
- §71-656. Power and duties of Administrator.
- §71-657. Injunctions - Intervention in suits involving subdivided land.
- §71-658. Violation of Code - Fine.
- §71-659. Liability to purchaser - Persons liable - Limitation of actions.
- §71-660. Summary prohibition of offers or dispositions.
- §71-661. Review of orders.
- §71-662. Rules, forms and orders - Making, amending or rescinding - Exemption from liability.
- §71-663. Filing of documents - Register - Inspection - Copies - Interpretative opinions.
- §71-664. Consent to service of process - Service.
- §71-665. Dispositions and offers - Application of law - Acceptance.
- §71-666. Liens and encumbrances.
- §71-667. Construction of act.
- §71-801. Short title.
- §71-802. Definitions.
- §71-803. Exemptions.
- §71-804. Denial or revocation of exemption - Orders and violation thereof.
- §71-805. Burden of proving exemption.
- §71-806. Certain sales unlawful.
- §71-807. Registration procedure.
- §71-808. Disclosure document.
- §71-809. Contracts or agreements required - Contents.
- §71-810. Suspension or revocation of registration - Grounds - Procedure.
- §71-811. Minimum net worth requirement.
- §71-812. Administration of act - Use of disclosure of information.
- §71-813. Investigations and proceedings - Powers and duties of Administrator.
- §71-814. Violation of act - Orders - Penalties.
- §71-815. Review of orders.
- §71-816. Rules, forms and orders - Making, amending and rescinding.
- §71-817. Document filed when received by Administrator - Register of applications and orders - Disclosure - Interpretive opinions.
- §71-818. Application of act - Offer to sell, communication thereof and acceptance - Service of process and agent therefor.
- §71-819. Fraud or deceit unlawful.
- §71-820. False or misleading statements unlawful.
- §71-821. Conclusiveness of filed document.
- §71-822. Misleading advertising unlawful.
- §71-823. Violations - Penalty - Criminal prosecutions.
- §71-824. Violations - Civil actions.
- §71-825. Aiding and abetting violation.
- §71-826. Limitation of actions - Remedies not exclusive - Waiver of compliance, duty or liability void.
- §71-827. Construction of act.
- §71-828. Oklahoma Securities Act - Application.
- §71-829. Fees and charges - Deposits.
- §71-901. Short title.
- §71-902. Definitions.
- §71-903. Rules governing registration in beneficiary form.
- §71-904. Applicable law.
- §71-905. Origination of registration in beneficiary form.
- §71-906. Form of registration.
- §71-907. Effect of registration.
- §71-908. Ownership on death - Rights of creditors.
- §71-909. Protections for registering entity.
- §71-910. Nonprobate transfer - Liability of transferees.
- §71-911. Terms, conditions and form for registration.
- §71-912. Construction.
- §71-913. Application.
