{"data":{"id":"us-ok/okla.-stat.-tit.-71-71-1-406","jurisdiction":"us-ok","citation":"Okla. Stat. tit. 71, § 71-1-406","heading":"Registration application - Time of becoming effective","body":"A. A person shall register as a broker-dealer, agent,\n\ninvestment adviser, or investment adviser representative by filing\n\nan application that contains:\n\n1. The information required for the filing of a uniform\n\napplication, a consent to service of process complying with Section\n\n1-611 of this title, the fee specified in Section 1-612 of this\n\ntitle and any reasonable fees charged by the designee of the\n\nAdministrator for processing the filing; and\n\n2. Upon request by the Administrator, any other financial or\n\nother information that the Administrator determines is appropriate.\n\nB. If the information contained in an application that is filed\n\nunder subsection A of this section is or becomes inaccurate or\n\nincomplete in any material respect, the registrant shall promptly\n\nfile a correcting amendment.\n\nC. If an order is not in effect and a proceeding is not pending\n\nunder Section 1-411 of this title, registration becomes effective at\n\nnoon on the 45th day after a completed application is filed unless\n\nthe registration is denied. A rule adopted or order issued under\n\nthis act may set an earlier effective date or may defer the\n\neffective date until noon on the 45th day after the filing of any\n\namendment completing the application.\n\nD. A registration is effective until midnight on December 31 of\n\nthe year for which the application for registration is filed.\n\nUnless an order is in effect under Section 1-411 of this title, a\n\nregistration may be automatically renewed each year by filing such\n\nrecords as are required by rule adopted or order issued under this\n\nact, by paying the fee specified in Section 1-612 of this title, and\n\nby paying costs charged by the designee of the Administrator for\n\nprocessing the filings.\n\nE. A rule adopted or order issued under this act may impose\n\nsuch other conditions not inconsistent with the National Securities\n\nMarkets Improvement Act of 1996. An order issued under this act may\n\nwaive, in whole or in part, specific requirements in connection with\n\nregistration as are in the public interest and for the protection of\n\ninvestors.","path":["OK Code","Title 71"],"source_url":"https://www.oklegislature.gov/OK_Statutes/CompleteTitles/os71.pdf","current_through":"2026-08-14","vintage":"open-us-law v2026.08, retrieved 2026-09-14","retrieved_at":"2026-09-14T18:32:36Z","sha256":"3ba4a3c0ef950efcc3f62c72dd06b08bd2997f58127ac5038b330137cbc049f9","source_id":"us-ok","stale":false,"prev":"us-ok/okla.-stat.-tit.-71-71-1-405","next":"us-ok/okla.-stat.-tit.-71-71-1-407"},"notice":"GroundRules: Original legal text. Not legal advice."}