Okla. Admin. Code § 660:11-7-51 - SEC covered investment adviser notice filing

(a) Initial filing. A federal covered investment adviser making its initial notice filing in the state of Oklahoma pursuant to Section 1-405 of the Securities Act:

(1) shall file with the IARD:

(A) a new or amended Form ADV designating Oklahoma on Item 2.B of Part 1A; and

(B) the investment adviser notice filing fee set forth in Section 1-612 of the Securities Act; and

(2) shall comply with existing federal requirements with regard to the Part 2 of the Form ADV.

(b) Renewal. Federal covered investment advisers who have made a notice filing pursuant to Section 1-405 of the Securities Act may renew their notice by submitting to the IARD the investment adviser notice filing fee set forth in Section 1-612 of the Securities Act.

Notes

Okla. Admin. Code § 660:11-7-51

Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg 2088, eff 8-1-13