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Investment Adviser Compliance Exams

General Overview

Pursuant to Section 1-410.D of the Oklahoma Securities Act, the records of all Investment Advisers registered in Oklahoma are subject to periodic or for cause inspection by a representative of the Oklahoma Department of Securities.

The subject areas covered by this inspection may contain, but will not be limited to, the following:

The common exam deficiencies discovered between July 1, 2018 and June 30, 2019 can be found in our most recent Exam Deficiencies report.


Disclaimer
The preceding information has been prepared for your convenience to provide assistance in meeting the requirements for investment advisers under the Oklahoma Uniform Securities Act of 2004 (Act) and the Rules of the Oklahoma Securities Commission and the Administrator of the Department of Securities (Rules). Please note, however, that all provisions of the Act and Rules are applicable and control over this information if there is any variance therein.