Most of our employees are teleworking due to the COVID-19 pandemic. We ask for your patience as we all work through this crisis. Stay Safe!

Menu

204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742

 
Act & Rules
 
Commission Reports
 
Press Releases
 
Document Upload
 
SEC's IA Public Disclosure Site
 
FINRA's Broker Check Site
 
Investor Advisories
COVID-19 Related Early Withdrawals from Retirement Accounts ... 6/3/2020
 
Recent Press Releases
Securities Department Joins Task Force Cracking Down on COVID-19 Investment... 5/11/2020
COVID-19-Related Investment Schemes Anticipated ... 4/16/2020
Investors Cautioned About Making Sudden and Uninformed Decisions... 3/2/2020
   
Recent Enforcement Actions
Empire Dispensary, Inc. and Christian, Shaun U. 
Adobe Image Dismissal With Prejudice as to Empire Dispensary Inc.    Filed: 7/2/2020
Dean Broker Exchange, LLC and Dean, Burton Clifford 
Adobe Image ODS' Motion to Deterrmine Restitution    Filed: 7/1/2020
Gregory, Joe Lawrence and Blue Quail, Ltd. 
Adobe Image Defendant's' Motion to Strike Improper Lien    Filed: 6/29/2020
Babaz, Paul David 
Adobe Image Agreement [Paul David Babaz]    Filed: 6/25/2020
Crypto Currency Software, Inc. and Ortuno, Jorge M. 
Adobe Image Response to Order to File Statments and Admissions [Alejandro Castaneda]    Filed: 6/24/2020
Adobe Image Response to Order to File Statement [Juan Sanchez]    Filed: 6/22/2020
Solis, Mark Anthony 
Adobe Image Agreement [Mark Anthony Solis]    Filed: 6/22/2020
Crypto Currency Software, Inc. and Ortuno, Jorge M. 
Adobe Image Response to Order to File Statments and Admissions [Prosper Gasu    Filed: 6/19/2020
Morales Wealth Management, LLC and Morales, Samuel Tino 
Adobe Image Order Terminating Registration [Morales Wealth Mgmt LLC]    Filed: 6/17/2020
Manna Robotics and Smalls, Eric Christian 
Adobe Image Motion for Order Directing Designated Facts be taken as Established and Motion for Summary Decision     Filed: 6/15/2020
  
 
ADVISORIES FOR FIRMS/PROFESSIONALS
 
COVID-19 UPDATE
General Operations
Electronic Filings Mandate
Extension of Certain IA Deadlines
 
2020 RULEMAKING
Administrator Adopts Rules
 
Is Your Securities Professional Registered? Let's find out - Click here
 
All Enforcement Actions
 
Click here to file a complaint
 
Information about Oklahoma Entities and old Stock Certificates
 
 7/14/2020 2:27:44 AM 
 
   
Required Notice as to Personally Identifiable Data