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204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742
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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
Chappelwood Financial Services Corp. 
Adobe Image Amendment to Agreement [Chappelwood Financial Services Corp.]    Filed: 6/1/2020
Empire Dispensary, Inc. and Christian, Shaun U. 
Adobe Image Petition for Permanent Injunction and Other Relief    Filed: 5/28/2020
Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates 
Adobe Image Application for Order Approving Attorney's Fees for Jan-Apr 2020    Filed: 5/15/2020
Adobe Image Conservator's Report for Jan-Apr 2020    Filed: 5/15/2020
Adobe Image Application for Order Approving Conservator's Fees and Expenses for Jan-Apr 2020    Filed: 5/14/2020
Crypto Currency Software, Inc. and Ortuno, Jorge M. 
Adobe Image Order to File Statements and Admissions [Alejandro Castaneda]    Filed: 4/10/2020
Adobe Image Order to File Statements and Admissions [Prosper Gasu]    Filed: 4/10/2020
Adobe Image Order to File Statement [Juan Sanchez]    Filed: 4/9/2020
Manna Robotics and Smalls, Eric Christian 
Adobe Image Amended Scheduling Order    Filed: 4/8/2020
Hafen, Herbert H. 
Adobe Image Final Order    Filed: 3/11/2020
  
 
ATTENTION: INVESTMENT ADVISERS RE: FORM CRS
 
COVID-19 UPDATE
General Operations
Electronic Filings Mandate
Extension of Certain IA Deadlines
 
2020 RULEMAKING
Administrator Adopts Rules
The Administrator adopted the following new rules and amendments to existing rules for effectiveness on November 1, 2020. The rules, as adopted, must first receive approval of the Legislature and the Governor.
 
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All Enforcement Actions
 
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Information about Oklahoma Entities and old Stock Certificates
 
 6/3/2020 3:22:52 PM 
 
   
Required Notice as to Personally Identifiable Data