Oklahoma Statutes
§ 71-1-405 — Federal covered investment adviser registration
Oklahoma·Title 71 Securities
requirement and exemptions.
A.Except with respect to a federal covered investment adviser described in subsection B of this section, it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies with subsection C of this section.
B.The following federal covered investment advisers are not required to comply with subsection C of this section: 1. A federal covered investment adviser without a place of business in this state if its only clients in this state are: a. federal covered investment advisers, investment advisers registered under this act, and broker-dealers registered under this act, b. institutional investors, c. bona fide preexisting clients whose principal
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Legislative History
Added by Laws 2003, c. 347, § 22, eff. July 1, 2004. Amended by Laws 2022, c. 77, § 23, eff. Nov. 1, 2022.
Nearby Sections
15
§ 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.§ 71-1-301
Securities registration requirement.§ 71-1-303
Securities registration by coordination.§ 71-1-305
Registration filings.