Okla. Stat. tit. 71, § 71-1-504
This is the official text of Okla. Stat. tit. 71, § 71-1-504, part of Oklahoma’s Stat. tit. 71, — part of the compiled statutory law of Oklahoma, published by the state as "Stat. tit. 71,." Browse the sections below, each linked to its official government source.
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Filing of sales and advertising literature
Official statutory text
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.
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.
Status: in_force · Read it on the official government site
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