Oklahoma

  • Oklahoma is a Uniform Act jurisdiction. Oklahoma participates in the NASAA coordinated review programs with merit review jurisdictions.
  • Oklahoma accepts the Uniform Application to Register Securities (Form U1), and allows for electronic signature of forms.
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process (Form U2)
    • SEC Form 1-A with exhibits
  • Oklahoma collects both a variable and fixed fee. Any person filing a registration statement shall pay an examination fee of Two Hundred Dollars ($200.00) and a filing fee computed upon the aggregate offering price of the securities sought to be registered in Oklahoma as follows: a fee equal to one-tenth of one percent (1/10 of 1%) of said price; provided, in no event shall the filing fee be less than Two Hundred Dollars ($200.00) or more than Two Thousand Five Hundred Dollars ($2,500.00).
  • Fees should be made payable to “Oklahoma Securities Department”. Payments should be sent to the following address:
Mailing Address: Courier Address:
Oklahoma Department of Securities
204 N Robinson, Ste. 400
Oklahoma City, OK 73102-7001
Oklahoma Department of Securities
204 N Robinson, Ste. 400
Oklahoma City, OK 73102-7001
  • For additional information, please visit the regulator’s website at www.securities.ok.gov or contact them at (405) 280-7700.
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