Every broker-dealer registered or required to be registered under the Securities Act shall make and keep true, accurate, and current the books and records as required by the SEC under Rule 17a-3 of the 1934 Act [17 C.F.R. §240.17a-3] as effective April 6, 2020, and Rule 17a-4 of the 1934 Act [17 C.F.R. §240.17a-4] as effective August 2, 2024).

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

Amended at 35 Ok Reg 2009, eff 11-1-18

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