1. (a) Notice requirement. Issuers offering a security in this state in reliance upon Section1-301(1) of the Securities Act by reason of compliance with Rule 506 of Regulation D under the 1933 Act [17 C.F.R. §230.506] shall be required to file a notice with the Administrator pursuant to the authority of Section 1-302(C)(1) of the Securities Act if a sale of a security subject to the Securities Act occurs as a result of such offering. Such notice shall be filed no later than fifteen (15) days after the first sale of a security subject to the Securities Act for which a notice is required.

2. (b) Content of notice filing. Each required notice shall include the following:

   1. (1) one copy of the notice of sales on Form D as most recently filed with the SEC;
   2. (2) the notice filing fee required by Section 1-612(A)(19) of the Securities Act.
3. (c) Late filing fee. An issuer who files their Form D more than 15 days after the first sale of a security for which a notice is required is delinquent and shall pay the late filing fee required by Section 1-612(A)(20) of the Securities Act. Such fee shall be paid at the time of making the late notice filing.

Added at 21 Ok Reg 2532, eff 7-1-04

Amended at 33 Ok Reg 1838, eff 11-1-16

Amended at 38 Ok Reg 2503, eff 11-1-21

Amended at 42 Ok Reg, Number 20, effective 8-15-25