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Title 71. Securities 

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Chapter 1 - Oklahoma Uniform Securities Act of 2004

Article 1 - General Provisions

§ 1-101. Short Title

§ 1-102. Definitions

§ 1-103. Statutes In Effect on Date of Enactment of This Act

§ 1-104. Reference to Agency or Department

§ 1-105. Limits on Electronic Signatures in Global and National Commerce Act

Article 2 - Exemptions From Registration of Securities

§ 1-201. Certain Securities Exempt From Sections Ten and Thirty-Two

§ 1-202. Certain Transactions Exempt From Requirements of Sections Ten and Thirty-Two

§ 1-203. Rule Adopted Or Order Issued May Create Certain Exemptions

§ 1-204. Order May Deny, Suspend Application Of, Condition, Limit, Or Revoke An Exemption - Exception - If Person Does Not Know Of Order

Article 3 - Registration of Securities and Notice of Filing of Federal Covered Securities

§ 1-301. To Offer Or Sell Security In State - Requirements

§ 1-302. Notice to Administrator - Notice Filing Effective One Year - Form D May Be Required - Failure To Comply

§ 1-303. Registration Statement - Accompanying Records - Conditions - Federal Registration Statement Effective Date

§ 1-304. Registration By Qualification - Required Information and Records - Effective Date of Registration Statement -

§ 1-305. Registration - Requirements and Provisions

§ 1-306. Denial, Suspension and Revocation of Registration Statement

§ 1-307. Waiver Or Modification of Requirements

§ 1-308. Investment Certificate - Investment Certificate Issuer - Requirements - Acknowledgement - Prohibitions - Impairment of Capital - Provisions, Generally

Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

§ 1-401. Broker-Dealer Registration - Exemptions - Prohibitions - Canadian Registration

§ 1-402. Agent Registration - Exemptions - Provisions

§ 1-403. Investment Adviser Registration - Exemptions - Prohibitions

§ 1-404. Investment Adviser Representative Registration - Exemptions - Prohibitions

§ 1-405. Federal Covered Investment Adviser

§ 1-406. Broker-dealer, Agent, Investment Adviser, or Investment Adviser Representative Application - Contents

§ 1-407. Successor Application - Amendment to Registration

§ 1-408. Notice of Termination - New Employement - Effective Date of Registration

§ 1-409. Application to Withdraw Registration By Broker-Dealer, Agent, Investment-Adviser, Investment Adviser Representative

§ 1-410. Financial Requirements - Financial Reports - Records - Audits - Custody of Funds - Information Dissemination to Clients - Continuing Education

§ 1-411. Denial, Conditions, Limits on Registration - Revocation and Suspension - Penalties - Discipline - Notice and Hearing

Article 5 - Fraud and Liabilities

§ 1-501. Unlawful to Defraud

§ 1-502. Unlawful Acts

§ 1-503. Claim of Exemption, Exception, Preemption, or Exclusion - Burden of Proof

§ 1-504. Sales and Advertising Literature - Filing and Fee

§ 1-505. Unlawful Statements In A Record

§ 1-506. Filing Does Not Constitute Finding That Record Is True

§ 1-507. Defamation

§ 1-508. Willful Violation of Act

§ 1-509. Civil Liability

§ 1-510. No Action May Be Maintained

Article 6 - Administration and Judicial Review

§ 1-601. Oklahoma Securities Commission and Department of Securities - Administrator

§ 1-602. Administrator - Powers

§ 1-603. Administrator - Maintain An Action To Enjoin and Force Compliance

§ 1-604. Administrator - Issuance of Orders - Request For Hearing - Penalties - Actual Costs

§ 1-605. Administrator - Forms, Orders, Amendment of Rules - Financial Statements - Interpretive Opinions or Determinations

§ 1-606. Maintenance of Register - Rules, Forms, Interpretive Opinions and Orders Available to Public - Copies

§ 1-607. Public Records - Non-Public Records

§ 1-608. Cooperation With Other Entities - Policies

§ 1-609. Appeal Process

§ 1-610. Offer To Sell Or Purchase Security In State

§ 1-611. Consent To Service of Process

§ 1-612. Fees

§ 1-613. Supervisory Agencies - Definitions

Article 7 - Transition

§ 1-701. Predecessor Act - Effective Dates

Oklahoma Securities Act

Article 1 - General Provisions - Securities Commission

§ 1. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 2. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 3. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 4. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 5. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 6. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 7. Repealed by Laws 1985, HB 1164, c. 178, § 81, emerg. eff. July 1, 1985

§ 8. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 9. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 10. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 11. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 12. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 13. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 14. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 15. Repealed by Laws 1980, HB 1851, c. 68, § 1, emerg. eff. April 10, 1980

§ 16. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 17. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

Article 2 - Fraudulent Practices

§ 101. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 102. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 103. Repealed by Laws 1995, c. 196, § 20, eff. July 1, 1995

Article 3 - Broker-Dealers, Agents, and Investment Advisors

§ 201. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 202. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 202.1. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 203. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 204. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

Article 4 - Registration of Securities

§ 301. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 302. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 303. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 304. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 304.1. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 305. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 305.1. Repealed by Laws 1987, SB 61, c. 208, § 120, emerg. eff. July 1, 1987

§ 305.2. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 306. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 307. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

Article 5 - General Provisions

§ 401. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 402. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 403. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 404. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 405. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 406. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 406.1. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 407. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 408. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 409. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 410. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 411. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 411.1. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 412. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 412.1. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 413. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

Multinational Take-Over Bids

§ 414. Definitions

§ 415. Public Announcement of Take-Over Bid - Filing of Required Information - Hearings - Information to be Filed - Costs

§ 416. Statutory Procedure Must be Followed

§ 417. Discrimination Prohibited

§ 418. Copies of Information to be Filed with Certain Regulatory Bodies

§ 419. Liabilities, Remedies and Penalties

§ 420. Rules and Regulations

§ 421. Exemptions

Oklahoma Take Over Bid Act

§ 431. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 432. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 433. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 434. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 435. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 436. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 437. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 438. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 439. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 440. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 441. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 442. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 443. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 444. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 445. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 446. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 447. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 448. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 449. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

§ 450. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985

Oklahoma Take Over Disclosure Act of 1985

§ 451. Short Title

§ 452. Definitions

§ 453. Take-Over Offers - Registration Statement - Hearing

§ 454. Copies of Advertisements Filed with Administrator and Sent to Target Company - Prohibition of False or Misleading Solicitation Materials.

§ 455. Unlawful Acts - Fraudulent, Deceptive and Manipulative Acts

§ 456. Requirements of Take-Over Offer - Offeror's Limitations

§ 457. Powers of Administrator of Department of Securities

§ 458. Filing Fee for Registration Statement

§ 459. Actions for Violations

§ 460. Penalties for Violations

§ 461. Liability for Violations

§ 462. Applicability of Act

Article 6 - Construction of Act

§ 501. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 502. Repealed by Laws 1989, c. 154, § 2, operative July 1, 1989

§ 503. Repealed by Laws 1980, Hb 1851, c. 68, § 1, emerg. eff. April 10, 1980

§ 504. Repealed by Laws 1980, HB 1851, c. 68, § 1, emerg. eff. April 10, 1980

Chapter 2 - Oklahoma Subdivided Land Sales Code

Article I - Title and Definitions

§ 601. Short Title

§ 602. Definitions

Article II - Registration of Subdivided Land

§ 621. Registration - Violations

§ 622. Exemptions

§ 623. Additional Exemptions

§ 624. Burden of Proof

§ 625. Application for Registration

§ 626. Public Offering Statements - Contents - Violations - Uses

§ 627. Orders - Application for Registration - Filing of Documents and Information

§ 628. Denial of Effectiveness to, Suspension or Revocation of Effectiveness of Registration

Article III - Licensing

§ 631. Licenses - Exemptions - Term - Suspension, Revocation or Denial

§ 632. Application for License

§ 633. Records - Copies - Inspection - Reports - Examination - Rules and Regulations

§ 634. Denial, Revocation or Suspension of License

Article IV - Sales Practices

§ 641. Fraud - Penalty

§ 642. Liens and Encumbrances

§ 643. Contracts - Voiding - Rescinding - Revoking

§ 644. Notice to Purchaser - Signatures - Rescission of Contract

Article V - General Provisions

§ 651. Administration of Code - Personal Use of Information - Privileges and Immunities

§ 652. Fees - Disposition

§ 653. Advertising

§ 654. Fraud - Filing of Documents and Information

§ 655. Presumptions - Fraud - Violations

§ 656. Power and Duties of Administrator

§ 657. Injunctions - Intervention in Suits Involving Subdivided Land

§ 658. Violation of Code - Fines and Penalties

§ 659. Liability to Purchaser - Persons Liable - Limitation of Actions

§ 660. Summary Prohibition of Offers or Dispositions

§ 661. Review of Orders

§ 662. Rules, Forms and Orders - Making, Amending or Rescinding - Exemption from Liability

§ 663. Filing of Documents - Register - Inspection - Copies - Interpretative Opinions

§ 664. Consent to Service of Process - Service

§ 665. Dispositions and Offers - Application of Law - Acceptance

§ 666. Liens and Encumbrances

§ 667. Construction of Act

Chapter 3 - Annual Financial Report

§ 701. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 702. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

§ 703. Repealed by Laws 2003, SB 724, c. 347, § 53, eff. July 1, 2004

Chapter 4 - Oklahoma Business Opportunity Sales Act

§ 801. Short Title

§ 802. Definitions

§ 803. Business Opportunities that are Exempt

§ 804. Exemptions - Administrator's Actions to Deny or Revoke

§ 805. Exemptions - Burden of Proof

§ 806. Registration Requirement for Sale of Offer of Business Opportunity

§ 807. Procedure for Registration

§ 808. Written Disclosure with Offer or Sale of Business Opportunity

§ 809. Contracts or Agreements - Requirements

§ 810. Order Denying, Suspending, or Revoking Effectiveness of Registration - Procedure - Administrator Limitations

§ 811. Seller Representations Prohibited - Exception

§ 812. Administration of Oklahoma Business Opportunity Sales Act

§ 813. Administrator - Powers and Duties

§ 814. Administrator Actions for Penalties

§ 815. Final Orders - Review by Commission

§ 816. Rules, Forms, or Orders

§ 817. Filing of Document - Register of All Applications for Registration and Disclosure Documents - Availability to Public

§ 818. Offers to Sell - Acceptance

§ 819. Unlawful Acts

§ 820. False or Misleading Statements in Filed Documents

§ 821. True, Complete, and Not Misleading Filed Document

§ 822. Untrue Statement or Omission of Material Fact in Advertisement

§ 823. Penalties for Violations

§ 824. Liability for Violations

§ 825. Joint and Several Liability

§ 826. Maintenance of Actions - Rights and Remedies - Waiver of Compliance

§ 827. Construction and Purpose of Act

§ 828. Applicability of Act

§ 829. Oklahoma Business Opportunity Sales Act - Fees

Chapter 5 - Oklahoma Uniform TOD Security Registration Act

§ 901. Short Title

§ 902. Definitions

§ 903. Registration in Beneficiary Form - Ownership - Limitations

§ 904. Registration - Governing Law

§ 905. Registration in Beneficiary Form

§ 906. Registration in Beneficiary Form

§ 907. Effect of Designation of TOD Beneficiary on Registration in Beneficiary Form - Cancelation

§ 908. Ownership upon Death of Last Sole Owner

§ 909. Registering Entity - Assent to Protections - Acceptance of Request for Registration of Security - Discharge

§ 910. Effect of Transfer on Death from Registration in Beneficiary Form - Rights of Creditors of Security Owners - Cancellation

§ 911. Terms and Conditions

§ 912. Liberal Construction

§ 913. Applicability of Act