Licensing Procedures | Midpage

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Oklahoma Administrative Code

Part 3

Licensing Procedures

Department of Securities

660:11-5-11Initial registration 660:11-5-12Renewal 660:11-5-13Agent transfer 660:11-5-14Broker-dealer and agent termination 660:11-5-16Examination requirements for agents and for principals of non-FINRA member broker-dealers 660:11-5-17Net capital for broker-dealers 660:11-5-19Piecemeal filings 660:11-5-20Canadian broker-dealer exemption 660:11-5-21Supplemental disclosures 660:11-5-22Private offering issuer agent exemption 660:11-5-23Coordinated limited offering issuer agent exemption 660:11-5-24Oklahoma Accredited Investor issuer agent exemption 660:11-5-25Registration relief for military service members and their spouses 660:11-5-26Merger and acquisition broker exemption