Okla. Admin. Code § 660:11-5-21

Current through Vol. 42, No. 8, January 2, 2025

Section 660:11-5-21 - Supplemental disclosures

Every broker-dealer and agent registered under the Securities Act must keep their application current at all times by promptly filing amendments supplementing their application after learning of the facts and circumstances giving rise to the amendments as required by Section 1-406.B of the Securities Act.

Okla. Admin. Code § 660:11-5-21

Adopted by Oklahoma Register, Volume 35, Issue 24, September 4, 2018, eff. 11/1/2018

Amended by Oklahoma Register, Volume 37, Issue 24, September 1, 2020, eff. 11/1/2020