The rules in this subchapter are adopted to provide procedures for complying with the provisions of the Securities Act relating to the registration of investment advisers and investment adviser representatives and the submission of notice filings by SEC covered investment advisers, and to provide post-registration requirements for establishing, maintaining, and enforcing written policies and procedures tailored to the investment advisers business model, taking into account the size of the firm, type(s) of service provided, and the number of locations of the investment adviser.

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

Amended at 30 Ok Reg 2066, eff 8-1-13

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