GroundRules
← Search the law
Oklahoma · Snapshot open-us-law v2026.08, retrieved 2026-09-14

Okla. Stat. tit. 71, § 71-1-504: Filing of sales and advertising literature

Read at publisher ↗
Where this section sits in the code
  1. OK Code
  2. Title 71

A. Except as otherwise provided in subsection B of this

section, it is unlawful for a person to distribute a prospectus,

pamphlet, circular, form letter, advertisement, sales literature, or

other advertising communication relating to a security or investment

advice, addressed or intended for distribution to prospective

investors, including clients or prospective clients of a person

registered or required to be registered as an investment adviser

under this act, unless the sales and advertising literature is first

filed with the Department with the fee specified in Section 1-612 of

this title and the Department has responded indicating that the

Administrator has no objection to its distribution or use.

B. This section does not apply to sales and advertising

literature specified in subsection A of this section relating to a

federal covered security, a federal covered investment adviser, or a

security or transaction exempted by Section 1-201, 1-202, or 1-203

of this title except as may be required pursuant to paragraph 7 of

Section 1-201 of this title.

Collected 2026-09-14T18:32:36Z. Source file · JSON

Browse this collection