Okla. Admin. Code § 735:15-3-2 - Duties of Securities Operations Department

The Securities Operations Department shall notify the appropriate financial institution responsible for settling the investment transaction and shall provide authorization for settlement. That Department shall obtain adequate documentation related to the settlement of the transaction, and documentation confirming the price quotes when the transaction is competitively bid. All such documents shall be compiled in a trade file. The Department shall perform and document a supervisory review of the trade file for propriety and completeness. The trade files shall be maintained in a secure area. Access to the trade files shall be permitted for audit and inspection as required by state statutes.


Okla. Admin. Code § 735:15-3-2
Added at 13 Ok Reg 1591, eff 4-2-96 (emergency); Added at 13 Ok Reg 3349, eff 7-25-96

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