{"data":{"id":"us-ok/okla.-stat.-tit.-71-71-1-612","jurisdiction":"us-ok","citation":"Okla. Stat. tit. 71, § 71-1-612","heading":"Fees","body":"A. Unless otherwise provided for by law, the following shall be\n\nthe fees charged pursuant to the provisions of this act:\n\n1. Broker-dealer registration fee or\n\n2. Broker-dealer or issuer agent or\n\nbroker-dealer principal\n\n3. Broker-dealer agent on an inactive\n\n4. Investment adviser registration fee\n\n5. Investment adviser annual notice\n\n6. Investment adviser representative\n\ntransferee\n\n10. Broker-dealer or investment adviser\n\n12. Notice of exemption filing or\n\n13. Interpretive opinion or no-action\n\n15. Service of process upon the\n\n16. Amendments to registration\n\nstatements or notice filings\n\npursuant to Section 1-302 of this\n\ntitle involving changes to the\n\nissuer's application or notice\n\nfiling form:\n\nb. a filing fee computed in the same\n\nmanner as the filing fee required\n\npursuant to of subsection B of\n\nthis section for any additional\n\nsecurities being registered.\n\n17. Copying fee.\n\nc. Certified copy 8 1/2\" by 14\"\n\nd. Certified copy larger than 8\n\n18. Document search fee for commercial\n\n19. Notice filing fee for a federal\n\ncovered security under Section\n\n18(b)(4)(D)(ii) and (b)(4)(F) of\n\nthe Securities Act of 1933 (15\n\nU.S.C. Section 77r(b)(4)(D)(ii)\n\n20. Late fee for late notice filing for\n\na federal covered security under\n\nSection 18(b)(4)(F) of the\n\nSecurities Act of 1933 (15 U.S.C.\n\nB. For the purpose of registering securities under this act,\n\nany person filing a registration statement shall pay an examination\n\nfee of Two Hundred Dollars ($200.00) and a filing fee computed upon\n\nthe aggregate offering price of the securities sought to be\n\nregistered in Oklahoma as follows:\n\na fee equal to one-tenth of one percent (1/10 of 1%)\n\nof said price; provided, in no event shall the filing\n\nfee be less than Two Hundred Dollars ($200.00) or more\n\nthan Two Thousand Five Hundred Dollars ($2,500.00).\n\nC. Any person making a notice filing pursuant to subsection A\n\nof Section 1-302 of this title, or renewing such a filing, shall pay\n\na filing fee of Five Hundred Dollars ($500.00) with each such notice\n\nor renewal filed.\n\nD. A person required to pay a filing or notice fee under this\n\nsection may transmit the fee through or to a person designated by\n\nrule adopted or order issued under this act. All fees and other\n\ncharges collected by the Administrator shall be deposited in the\n\nGeneral Revenue Fund with the State Treasurer, except for the fees\n\ndeposited in the Oklahoma Department of Securities Revolving Fund\n\nand the amounts deposited in the Oklahoma Department of Securities\n\nInvestor Education Revolving Fund.\n\nE. There is hereby created in the State Treasury a revolving\n\nfund for the Oklahoma Department of Securities to be designated the\n\n\"Oklahoma Department of Securities Revolving Fund\". The fund shall\n\nbe a continuing fund, not subject to fiscal year limitations, and\n\nshall consist of fees and other charges collected by the\n\nAdministrator as follows:\n\n1. The fees collected pursuant to paragraphs 1, 4, 5, 8, 14,\n\n15, 17 and 18 of subsection A of this section;\n\n2. The fees collected pursuant to the provisions of Section 1-\n\n504 of this title as provided in paragraph 9 of subsection A of this\n\nsection;\n\n3. The examination fees designated in paragraph 16 of\n\nsubsection A and in subsection B of this section;\n\n4. The amounts collected pursuant to subsection D of Section 1-\n\n605 of this title set forth in paragraph 13 of subsection A of this\n\nsection; and\n\n5. One Hundred Fifty Dollars ($150.00) of each filing fee\n\ncollected pursuant to subsection C of this section.\n\nThe Oklahoma Department of Securities Revolving Fund shall be a\n\ncontinuing fund, not subject to fiscal year limitations.\n\nExpenditures from the Oklahoma Department of Securities Revolving\n\nFund shall be made pursuant to the laws of this state and the\n\nstatutes relating to the Oklahoma Department of Securities, and\n($150.00) of each filing fee\n\ncollected pursuant to subsection C of this section.\n\nThe Oklahoma Department of Securities Revolving Fund shall be a\n\ncontinuing fund, not subject to fiscal year limitations.\n\nExpenditures from the Oklahoma Department of Securities Revolving\n\nFund shall be made pursuant to the laws of this state and the\n\nstatutes relating to the Oklahoma Department of Securities, and\n\nwithout legislative appropriation. Expenditures from the Oklahoma\n\nDepartment of Securities Revolving Fund shall be made upon warrants\n\nissued by the State Treasurer against claims filed as prescribed by\n\nlaw with the Director of the Office of Management and Enterprise\n\nServices for approval and payment.\n\nF. There is hereby created in the State Treasury a revolving\n\nfund for the Oklahoma Department of Securities to be designated the\n\n\"Oklahoma Department of Securities Investor Education Revolving\n\nFund\". The fund shall be a continuing fund, not subject to fiscal\n\nyear limitations, and shall consist of all amounts collected\n\npursuant to court order or judgment in actions brought by the\n\nAdministrator, and amounts received in multistate settlements\n\nparticipated in by the Department, and interest attributable to the\n\ninvestment of the fund that shall be deposited in the Oklahoma\n\nDepartment of Securities Investor Education Revolving Fund. The\n\nFund may be invested in any investment instrument allowed by\n\nOklahoma Statutes to the State Treasurer for the investment of state\n\nfunds. Any amounts received from any court settlement in excess of\n\nOne Million Dollars ($1,000,000.00) shall be transferred to the\n\nGeneral Fund. The Administrator shall use the moneys in this fund\n\nexclusively for the specific purposes of research for education and\n\neducation of Oklahoma residents in matters concerning securities\n\nlaws and general investor protection. The Oklahoma Department of\n\nSecurities Investor Education Revolving Fund shall be a continuing\n\nfund, not subject to fiscal year limitations. Expenditures from the\n\nOklahoma Department of Securities Investor Education Revolving Fund\n\nshall be made pursuant to the laws of this state and the statutes\n\nrelating to the Oklahoma Department of Securities, and without\n\nlegislative appropriation. Expenditures from the Oklahoma\n\nDepartment of Securities Investor Education Revolving Fund shall be\n\nmade upon warrants issued by the State Treasurer against claims\n\nfiled as prescribed by law with the Director of the Office of\n\nManagement and Enterprise Services for approval and payment.\n\nG. There is hereby created a petty cash fund for the Oklahoma\n\nDepartment of Securities. The Director of the Office of Management\n\nand Enterprise Services and the Administrator are hereby authorized\n\nand it shall be their duty to fix the maximum amount of the petty\n\ncash fund, not to exceed Five Hundred Dollars ($500.00). The\n\nDirector of the Office of Management and Enterprise Services shall\n\nprescribe all forms, systems, and procedures for administering the\n\npetty cash fund. The fund shall be used solely to pay:\n\n1. Examination, investigation and litigation expenses of the\n\nDepartment, including, but not limited to, court costs, filing fees,\n\ncopying fees, and witness fees; and\n\n2. Incidental operating expenses of the Department not to\n\nexceed One Hundred Dollars ($100.00) per transaction.\n\nH. Once paid, fees shall be nonrefundable.\n\nI. Section 211 of Title 62 of the Oklahoma Statutes shall not\n\napply to the Oklahoma Department of Securities or the Oklahoma\n\nSecurities Commission.","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":"c6aafa2350b31c1ef75d32bf930d561feee1b9cd013c20f5841ca6925ca17c74","source_id":"us-ok","stale":false,"prev":"us-ok/okla.-stat.-tit.-71-71-1-611","next":"us-ok/okla.-stat.-tit.-71-71-1-613"},"notice":"GroundRules: Original legal text. Not legal advice."}