Okla. Admin. Code § 660:11-5-31

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

Section 660:11-5-31 - Post-registration reporting requirements

(a)Filing requirement. Pursuant to Section 1-410.B of the Securities Act, all broker-dealers registered under Section 1-406 of the Securities Act who are not FINRAmembers must make post-registration filings with the Department. The Department will not accept incomplete or piecemeal filings. Failure to file a complete report when due may result in the suspension or revocation of registration.

(b)Report content. Such registered broker-dealers shall make one (1) post-registration filing each fiscal year. Said filing shall contain audited financial statements as of the broker-dealer's fiscal year end and the report filing fee specified in Section 1-612 of the Securities Act.

(c)Report filing dates. Post-registration filings become due on the last day of the fiscal period to which they apply; however, a grace period is provided before a filing becomes delinquent. The filing must be made by the last day of the fourth month following the close of the registrant's fiscal year.

Okla. Admin. Code § 660:11-5-31

Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg 2071, eff 8-1-13