- (a) Filing requirement. Pursuant to Section 1-410(B) of the Securities Act, all broker-dealers registered under Section 1-406 of the Securities Act who are not FINRA members must make post-registration filings with the Department. The Department will not accept incomplete or piecemeal filings. Failure to file a complete report when due may result in the suspension or revocation of registration.
- (b) Report content. Such registered broker-dealers shall make one (1) post-registration filing each fiscal year. Said filing shall contain audited financial statements as of the broker-dealer's fiscal year end and the report filing fee specified in Section 1-612 of the Securities Act.
- (c) Report filing dates. Post-registration filings become due on the last day of the fiscal period to which they apply; however, a grace period is provided before a filing becomes delinquent. The filing must be made by the last day of the fourth month following the close of the registrant's fiscal year.
Added at 21 Ok Reg 2532, eff 7-1-04
Amended at 30 Ok Reg 2066, eff 8-1-13
Amended at 42 Ok Reg, Number 20, effective 8-15-25