Okla. Admin. Code § 660:6-5-1

Current through Vol. 42, No. 7, December 16, 2024

Section 660:6-5-1 - Forms for registration or exemption of securities

(a)Forms. The following is a list of forms accepted by the Department in connection with the registration or exemption of securities under the Securities Act:

(1) U-1 -- Uniform Application to Register Securities

(2) U-2 -- Uniform Consent to Service of Process

(3) U-2A -- Uniform Form of Corporate Resolution

(4) U-7 -- Small Company Offering Registration Form

(5) NF -- Uniform Investment Company Notice Filing

(6) Form D -- Notice of Exempt Offering of Securities

(7) NASAA Model Accredited Investor Exemption Notice of Transaction Form

(8) Oklahoma Accredited Investor Exemption Supplemental Information Form

(9) Oklahoma Notice of Regulation A Tier 2 Offering Form (or equivalent uniform form)

(10) Part 1 of Federal Form 1-A

(b)Obtaining forms. The referenced forms are available on the Department's website at http://www.securities.ok.gov/.

Okla. Admin. Code § 660:6-5-1

Amended at 15 Ok Reg 3416, eff 7-15-98; Amended at 21 Ok Reg 2496, eff 7-1-04

Amended by Oklahoma Register, Volume 33, Issue 24, September 1, 2016, eff. 11/1/2016

Amended by Oklahoma Register, Volume 37, Issue 24, September 1, 2020, eff. 11/1/2020