Corporate Finance Division

The Division of Corporate Finance is responsible for the registration or exemption of securities, business opportunities, takeovers and subdivided land offered in and/or from the state of Oklahoma, including the review of offering documents and sales material to be used for the offering. Corporate Finance also receives filings of the final documents for bonds, notes or other evidences of indebtedness of any public trust.

Examiners review applications for registration for compliance with applicable guidelines and to determine whether the offering documents contain adequate disclosure of material facts concerning the issuer and the securities or other products it intends to offer and sell. 

Listed below are some of the issues most often inquired about:

  • whether a particular security or other product is registered, or has been the subject of an investment company or exemption notice;
  • whether registration is required, or if an exemption is available for, a particular product or transaction;
  • the filing requirements for a registration, notice, request, or other filing; and,
  • the status of a particular filing.

While Corporate Finance does not act as a private attorney for investors, other inquiries not requiring a legal opinion concerning the various categories within the responsibility of Corporate Finance can be made by the general public or the securities industry by calling or writing to the Department. You may also use our electronic form for a detailed inquiry.

 

 
Search the Department's database for exemption, business opportunity, and public trust filings.
 
The Department provides a web-based Investment Co. Notice Acknowledgment process that allows filing companies to view or print acknowledgment letters directly from this web site. 
 
Oklahoma Investment Company Notice Filing Requirements - The notice filing provisions of Oklahoma law to be followed by Investment Companies that are registered, or have filed a registration statement, under the Investment Company Act of 1940 provide for "class based" notice filing...
 
Info about Old Stock Certificates
While thousands of corporations have gone bankrupt or been dissolved throughout the years, corporations disappear for other reasons, too... For more information, see...
SEC's Old Stock & Bond Certificates
OK Entity Sources of Information
 
 
Registration Requirements |  Investment Companies |  Business Opportunities |  Exemptions |  SCOR