Okla. Admin. Code § 660:11-11-61

Current through Vol. 41, No. 19, June 17, 2024

Section 660:11-11-61 - Regulation D Rule 506 federal covered security notice filing

(a)Notice requirement. Issuers offering a security in this state in reliance upon Section 1-301.1 of the Securities Act by reason of compliance with Regulation D, Rule 506, adopted by the SEC, shall be required to file a notice with the Administrator pursuant to the authority of Section 1 302.C. of the Securities Act if a sale of a security in this state occurs as a result of such offering. Such notice shall be filed no later than fifteen (15) days after the first sale of a security in this state for which a notice is required.

(b)Content of notice filing. Each required notice shall include the following:

(1) one copy of the notice of sales on Form D as most recently filed with the SEC;

(2) the notice filing fee required by Section 1-612.A.19. of the Securities Act.

Okla. Admin. Code § 660:11-11-61

Added at 21 Ok Reg 2532, eff 7-1-04

Amended by Oklahoma Register, Volume 33, Issue 24, September 1, 2016, eff. 11/1/2016