"Securities Act of 1933" (15 U.S.C. Section 77a et seq.), "Securities Exchange Act of 1934" (15 U.S.C. Section 78a et seq.), "Public Utility Holding Company Act of 2005" (42 U.S.C. Section 16451 et seq.), "Investment Company Act of 1940" (15 U.S.C. Section 80a-1 et seq.), "Investment Advisers Act of 1940" (15 U.S.C. Section 80b-1 et seq.), "Employee Retirement Income Security Act of 1974" (29 U.S.C. Section 1001 et seq.), "National Housing Act" (12 U.S.C. Section 1701 et seq.), "Commodity Exchange Act" (7 U.S.C. Section 1 et seq.), "Internal Revenue Code" (26 U.S.C. Section 1 et seq.), "Securities Investor Protection Act of 1970" (15 U.S.C. Section 78aaa et seq.), "Securities Litigation Uniform Standards Act of 1998" (112 Stat. 3227), "Small Business Investment Act of 1958" (15 U.S.C. Section 661 et seq.), "Family Educational Rights and Privacy Act" (20 U.S.C. Section 1232g), and "Electronic Signatures in Global and National Commerce Act" (15 U.S.C. Section 7001 et seq.) mean those statutes and the rules and regulations adopted under those statutes, as in effect on the date of enactment of this act, or as later amended.
Added by Laws 2003, c. 347, § 3, eff. July 1, 2004. Amended by Laws 2022, c. 77, § 7, eff. Nov. 1, 2022.
Structure Oklahoma Statutes
§71-1-103. References to federal statutes.
§71-1-104. References to federal agencies.
§71-1-105. Electronic records and signatures.
§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.
§71-1-410. Postregistration requirements.
§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.
§71-1-602. Investigations and subpoenas.
§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.
§71-1-611. Service of process.
§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.
§71-416. 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.
§71-454. 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.
§71-459. 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.
§71-621. Registration - Violations.
§71-623. Additional exemptions.
§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. License required - Exemption.
§71-633. Records - Copies - Inspection - Rules.
§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.
§71-654. 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.
§71-662. 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.
§71-804. Denial or revocation of exemption - Orders and violation thereof.
§71-805. Burden of proving exemption.
§71-806. Certain sales unlawful.
§71-807. Registration procedure.
§71-809. 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.
§71-816. Rules, forms and orders - Making, amending and rescinding.
§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.
§71-828. Oklahoma Securities Act - Application.
§71-829. Fees and charges - Deposits.
§71-903. Rules governing registration in beneficiary form.
§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.