Okla. Stat. tit. 71, § 71-1-407: Succession and change in registration of broker-dealer

or investment adviser.

A. A broker-dealer or investment adviser may succeed to the

current registration of another broker-dealer or investment adviser

or a notice filing of a federal covered investment adviser, and a

federal covered investment adviser may succeed to the current

registration of an investment adviser or notice filing of another

federal covered investment adviser, by filing as a successor an

application for registration pursuant to Section 1-401 or 1-403 of

this title, or a notice pursuant to Section 1-405 of this title, for

the unexpired portion of the current registration or notice filing.

B. A broker-dealer or investment adviser that changes its form

of organization or state of incorporation or organization may

continue its registration by filing an amendment to its registration

if the change does not involve a material change in its financial

condition or management. The amendment becomes effective when filed

or upon a date designated by the registrant in its filing. The new

organization is a successor to the original registrant for the

purposes of this act. If there is a material change in financial

condition or management, the broker-dealer or investment adviser

shall file a new application for registration. Any predecessor

registered under this act shall stop conducting its securities

business other than winding down transactions and shall file for

withdrawal of broker-dealer or investment adviser registration

within forty-five (45) days after filing its amendment to effect

succession.

C. A broker-dealer or investment adviser that changes its name

may continue its registration by filing an amendment to its

registration. The amendment becomes effective when filed or upon a

date designated by the registrant.

D. A change of control of a broker-dealer or investment adviser

may be made in accordance with a rule adopted or order issued under

this act.