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2024 Oklahoma Statutes
Title 71. Securities
- §71-1. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-1-101. Short title.
- §71-1-102. Definitions.
- §71-1-103. References to federal statutes.
- §71-1-104. References to federal agencies.
- §71-1-105. Electronic records and signatures.
- §71-1-201. Exempt securities.
- §71-1-202. Exempt transactions.
- §71-1-203. Additional exemptions and waivers.
- §71-1-204. Denial, suspension of application, revocation, condition, or limitation of exemptions.
- §71-1-301. Securities registration requirement.
- §71-1-302. Federal covered security – Notice filing.
- §71-1-303. Securities registration by coordination.
- §71-1-304. Securities registration by qualification.
- §71-1-305. Registration filings.
- §71-1-306. Denial, suspension, or revocation of effectiveness of registration statement.
- §71-1-307. Waiver or modification.
- §71-1-308. Investment certificate issuers - Registration requirements.
- §71-1-401. Broker-dealer registration requirement and exemptions.
- §71-1-402. Agent registration requirement and exemptions.
- §71-1-403. Investment adviser registration requirement and exemptions.
- §71-1-404. Investment adviser representative registration requirement and exemptions.
- §71-1-405. Federal covered investment adviser registration requirement and exemptions.
- §71-1-406. Registration application - Time of becoming effective.
- §71-1-407. Succession and change in registration of broker-dealer or investment adviser.
- §71-1-408. Termination of employment or association of agent and investment adviser representative - Transfer of employment or association.
- §71-1-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- §71-1-410. Postregistration requirements.
- §71-1-411. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
- §71-1-501. General fraud.
- §71-1-502. Prohibited conduct in providing investment advice.
- §71-1-503. Evidentiary burden.
- §71-1-504. Filing of sales and advertising literature.
- §71-1-505. Misleading filings.
- §71-1-506. Misrepresentations concerning registration or exemption.
- §71-1-507. Qualified immunity.
- §71-1-508. Violations - Criminal penalties - Administrative fines.
- §71-1-509. Civil liability.
- §71-1-510. Rescission offers.
- §71-1-601. Administration — Creation of Oklahoma Securities Commission and Department of Securities.
- §71-1-602. Investigations and subpoenas.
- §71-1-603. Civil enforcement.
- §71-1-604. Administrative enforcement.
- §71-1-605. Rules, forms, orders, interpretative opinions, and hearings.
- §71-1-606. Administrative files and opinions.
- §71-1-607. Public records - Confidentiality.
- §71-1-608. Uniformity and cooperation with other agencies.
- §71-1-609. Commission review of order - Judicial review.
- §71-1-610. Jurisdiction.
- §71-1-611. Service of process.
- §71-1-612. Fees.
- §71-1-613. Availability of data for supervision of personnel - Sharing of data - Confidentiality.
- §71-1-701. Application of act to existing proceedings and rights.
- §71-2. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-3. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-4. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-5. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-6. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-7. Repealed by Laws 1985, c. 178, § 81, operative July 1, 1985.
- §71-8. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-9. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-10. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-11. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-12. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-13. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-14. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-15. Repealed by Laws 1980, c. 68, § 1, emerg. eff. April 10, 1980.
- §71-16. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-17. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-101. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-102. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-103. Repealed by Laws 1995, c. 196, § 20, eff. July 1, 1995.
- §71-201. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-202. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-202.1. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-203. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-204. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-301. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-302. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-303. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-304. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-304.1. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-305. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-305.1. Repealed by Laws 1987, c. 208, § 120, operative July 1, 1987 and Laws 1987, c. 236, § 203, emerg. eff. July 20, 1987.
- §71-305.2. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-306. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-307. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-401. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-402. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-403. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-404. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-405. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-406. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-406.1. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-407. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-408. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-409. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-410. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-411. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-411.1. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-412. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-412.1. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-413. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-414. Definitions.
- §71-415. Public announcement of take-over bid - Filing of required information - Hearings - Information to be filed - Costs.
- §71-416. Statutory procedure must be followed.
- §71-417. Discrimination prohibited.
- §71-418. Copies of information to be filed with certain regulatory bodies.
- §71-419. Liabilities, remedies and penalties.
- §71-420. Rules and regulations.
- §71-421. Exemptions.
- §71-431. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-432. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-433. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-434. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-435. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-436. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-437. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-438. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-439. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-440. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-441. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-442. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-443. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-444. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-445. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-446. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-447. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-448. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-449. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-450. Repealed by Laws 1985, c. 285, § 16, emerg. eff. July 22, 1985.
- §71-451. Short title.
- §71-452. Definitions.
- §71-453. Effective take-over offer required - Registration statement - Suspension of take-over offer and hearing.
- §71-454. Solicitation materials - Filing - Prohibited use.
- §71-455. Fraudulent, deceptive and manipulative acts prohibited.
- §71-456. Actions of offeror - Limitations.
- §71-457. Powers of Administrator - Rules and forms - Exemptions from act.
- §71-458. Registration fee.
- §71-459. Violations - Cease and desist orders - Injunctions.
- §71-460. Violations - Penalty - Evidence.
- §71-461. Liability of offeror - Rights and remedies of seller.
- §71-462. Application of provisions of Oklahoma Securities Act.
- §71-501. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-502. Repealed by Laws 1989, c. 154, § 2, operative July 1, 1989.
- §71-503. Repealed by Laws 1980, c. 68, § 1, emerg. eff. April 10, 1980.
- §71-504. Repealed by Laws 1980, c. 68, § 1, emerg. eff. April 10, 1980.
- §71-601. Citation.
- §71-602. Definitions.
- §71-621. Registration - Violations.
- §71-622. Exemptions.
- §71-623. Additional exemptions.
- §71-624. Burden of proof.
- §71-625. Application for registration.
- §71-626. Public offering statements - Contents - Violations - Uses.
- §71-627. Orders - Application for registration - Filing of documents and information.
- §71-628. Denial of effectiveness to, suspension or revocation of effectiveness of registration.
- §71-631. License required - Exemption.
- §71-632. Repealed by Laws 2022, c. 78, § 15, eff. Nov. 1, 2022.
- §71-633. Records - Copies - Inspection - Rules.
- §71-634. Repealed by Laws 2022, c. 78, § 15, eff. Nov. 1, 2022.
- §71-641. Fraud - Penalty.
- §71-642. Liens and encumbrances.
- §71-643. Contracts - Voiding - Rescinding - Revoking.
- §71-644. Notice to purchaser - Signatures - Rescission of contract.
- §71-651. Administration of Code - Personal use of information - Privileges and immunities.
- §71-652. Fees - Disposition.
- §71-653. Advertising.
- §71-654. Fraud - Filing of documents and information.
- §71-655. Presumptions - Fraud - Violations.
- §71-656. Power and duties of Administrator.
- §71-657. Injunctions - Intervention in suits involving subdivided land.
- §71-658. Violation of Code - Fine.
- §71-659. Liability to purchaser - Persons liable - Limitation of actions.
- §71-660. Summary prohibition of offers or dispositions.
- §71-661. Review of orders.
- §71-662. Rules, forms and orders - Making, amending or rescinding - Exemption from liability.
- §71-663. Filing of documents - Register - Inspection - Copies - Interpretative opinions.
- §71-664. Consent to service of process - Service.
- §71-665. Dispositions and offers - Application of law - Acceptance.
- §71-666. Liens and encumbrances.
- §71-667. Construction of act.
- §71-701. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-702. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-703. Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004.
- §71-801. Short title.
- §71-802. Definitions.
- §71-803. Exemptions.
- §71-804. Denial or revocation of exemption - Orders and violation thereof.
- §71-805. Burden of proving exemption.
- §71-806. Certain sales unlawful.
- §71-807. Registration procedure.
- §71-808. Disclosure document.
- §71-809. Contracts or agreements required - Contents.
- §71-810. Suspension or revocation of registration - Grounds - Procedure.
- §71-811. Minimum net worth requirement.
- §71-812. Administration of act - Use of disclosure of information.
- §71-813. Investigations and proceedings - Powers and duties of Administrator.
- §71-814. Violation of act - Orders - Penalties.
- §71-815. Review of orders.
- §71-816. Rules, forms and orders - Making, amending and rescinding.
- §71-817. Document filed when received by Administrator - Register of applications and orders - Disclosure - Interpretive opinions.
- §71-818. Application of act - Offer to sell, communication thereof and acceptance - Service of process and agent therefor.
- §71-819. Fraud or deceit unlawful.
- §71-820. False or misleading statements unlawful.
- §71-821. Conclusiveness of filed document.
- §71-822. Misleading advertising unlawful.
- §71-823. Violations - Penalty - Criminal prosecutions.
- §71-824. Violations - Civil actions.
- §71-825. Aiding and abetting violation.
- §71-826. Limitation of actions - Remedies not exclusive - Waiver of compliance, duty or liability void.
- §71-827. Construction of act.
- §71-828. Oklahoma Securities Act - Application.
- §71-829. Fees and charges - Deposits.
- §71-901. Short title.
- §71-902. Definitions.
- §71-903. Rules governing registration in beneficiary form.
- §71-904. Applicable law.
- §71-905. Origination of registration in beneficiary form.
- §71-906. Form of registration.
- §71-907. Effect of registration.
- §71-908. Ownership on death - Rights of creditors.
- §71-909. Protections for registering entity.
- §71-910. Nonprobate transfer - Liability of transferees.
- §71-911. Terms, conditions and form for registration.
- §71-912. Construction.
- §71-913. Application.
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