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Record Keeping and Ethical Standards | Midpage
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Oklahoma Administrative Code
Title 660
Chapter 11
Subchapter 7
Part 7
Record Keeping and Ethical Standards
Department of Securities
660:11-7-41
Record keeping requirements
660:11-7-42
Dishonest and unethical practices of investment advisers and investment adviser representatives
660:11-7-43
Disclosure requirements
660:11-7-44
Financial statements for investment advisers
660:11-7-45
Examination of investment advisers
660:11-7-46
Written policies and procedures
660:11-7-47
Payments for client solicitations
660:11-7-48
Custody requirements for investment advisers
660:11-7-49
Investment adviser representative continuing education requirements