# Okla. Stat. tit. 71, § 71-1-612: Fees > Oklahoma · Statutes · In force URL: https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-612 ## Section - **Citation:** Okla. Stat. tit. 71, § 71-1-612 - **Heading:** Fees - **Jurisdiction:** Oklahoma - **Kind:** Statutes - **Status:** In force - **Text as of:** August 14, 2026 - **Source:** Compiled text - **Location:** OK Code / Title 71 / Section 71-1-612 ## Text A. Unless otherwise provided for by law, the following shall be the fees charged pursuant to the provisions of this act: 1. Broker-dealer registration fee or 2. Broker-dealer or issuer agent or broker-dealer principal 3. Broker-dealer agent on an inactive 4. Investment adviser registration fee 5. Investment adviser annual notice 6. Investment adviser representative transferee 10. Broker-dealer or investment adviser 12. Notice of exemption filing or 13. Interpretive opinion or no-action 15. Service of process upon the 16. Amendments to registration statements or notice filings pursuant to Section 1-302 of this title involving changes to the issuer's application or notice filing form: Oklahoma Statutes - Title 71. Securities Page 86 b. a filing fee computed in the same manner as the filing fee required pursuant to of subsection B of this section for any additional securities being registered. 17. Copying fee. c. Certified copy 8 1/2" by 14" d. Certified copy larger than 8 18. Document search fee for commercial 19. Notice filing fee for a federal covered security under Section 18(b)(4)(D)(ii) and (b)(4)(F) of the Securities Act of 1933 (15 U.S.C. Section 77r(b)(4)(D)(ii) 20. Late fee for late notice filing for a federal covered security under Section 18(b)(4)(F) of the Securities Act of 1933 (15 U.S.C. B. For the purpose of registering securities under this act, 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). C. Any person making a notice filing pursuant to subsection A of Section 1-302 of this title, or renewing such a filing, shall pay a filing fee of Five Hundred Dollars ($500.00) with each such notice or renewal filed. D. A person required to pay a filing or notice fee under this section may transmit the fee through or to a person designated by rule adopted or order issued under this act. All fees and other charges collected by the Administrator shall be deposited in the General Revenue Fund with the State Treasurer, except for the fees deposited in the Oklahoma Department of Securities Revolving Fund and the amounts deposited in the Oklahoma Department of Securities Investor Education Revolving Fund. Oklahoma Statutes - Title 71. Securities Page 87 E. There is hereby created in the State Treasury a revolving fund for the Oklahoma Department of Securities to be designated the "Oklahoma Department of Securities Revolving Fund". The fund shall be a continuing fund, not subject to fiscal year limitations, and shall consist of fees and other charges collected by the Administrator as follows: 1. The fees collected pursuant to paragraphs 1, 4, 5, 8, 14, 15, 17 and 18 of subsection A of this section; 2. The fees collected pursuant to the provisions of Section 1- 504 of this title as provided in paragraph 9 of subsection A of this section; 3. The examination fees designated in paragraph 16 of subsection A and in subsection B of this section; 4. The amounts collected pursuant to subsection D of Section 1- 605 of this title set forth in paragraph 13 of subsection A of this section; and 5. One Hundred Fifty Dollars ($150.00) of each filing fee collected pursuant to subsection C of this section. The Oklahoma Department of Securities Revolving Fund shall be a continuing fund, not subject to fiscal year limitations. Expenditures from the Oklahoma Department of Securities Revolving Fund shall be made pursuant to the laws of this state and the statutes relating to the Oklahoma Department of Securities, and ($150.00) of each filing fee collected pursuant to subsection C of this section. The Oklahoma Department of Securities Revolving Fund shall be a continuing fund, not subject to fiscal year limitations. Expenditures from the Oklahoma Department of Securities Revolving Fund shall be made pursuant to the laws of this state and the statutes relating to the Oklahoma Department of Securities, and without legislative appropriation. Expenditures from the Oklahoma Department of Securities Revolving Fund shall be made upon warrants issued by the State Treasurer against claims filed as prescribed by law with the Director of the Office of Management and Enterprise Services for approval and payment. F. There is hereby created in the State Treasury a revolving fund for the Oklahoma Department of Securities to be designated the "Oklahoma Department of Securities Investor Education Revolving Fund". The fund shall be a continuing fund, not subject to fiscal year limitations, and shall consist of all amounts collected pursuant to court order or judgment in actions brought by the Administrator, and amounts received in multistate settlements participated in by the Department, and interest attributable to the investment of the fund that shall be deposited in the Oklahoma Department of Securities Investor Education Revolving Fund. The Fund may be invested in any investment instrument allowed by Oklahoma Statutes to the State Treasurer for the investment of state funds. Any amounts received from any court settlement in excess of One Million Dollars ($1,000,000.00) shall be transferred to the General Fund. The Administrator shall use the moneys in this fund exclusively for the specific purposes of research for education and education of Oklahoma residents in matters concerning securities laws and general investor protection. The Oklahoma Department of Securities Investor Education Revolving Fund shall be a continuing Oklahoma Statutes - Title 71. Securities Page 88 fund, not subject to fiscal year limitations. Expenditures from the Oklahoma Department of Securities Investor Education Revolving Fund shall be made pursuant to the laws of this state and the statutes relating to the Oklahoma Department of Securities, and without legislative appropriation. Expenditures from the Oklahoma Department of Securities Investor Education Revolving Fund shall be made upon warrants issued by the State Treasurer against claims filed as prescribed by law with the Director of the Office of Management and Enterprise Services for approval and payment. G. There is hereby created a petty cash fund for the Oklahoma Department of Securities. The Director of the Office of Management and Enterprise Services and the Administrator are hereby authorized and it shall be their duty to fix the maximum amount of the petty cash fund, not to exceed Five Hundred Dollars ($500.00). The Director of the Office of Management and Enterprise Services shall prescribe all forms, systems, and procedures for administering the petty cash fund. The fund shall be used solely to pay: 1. Examination, investigation and litigation expenses of the Department, including, but not limited to, court costs, filing fees, copying fees, and witness fees; and 2. Incidental operating expenses of the Department not to exceed One Hundred Dollars ($100.00) per transaction. H. Once paid, fees shall be nonrefundable. I. Section 211 of Title 62 of the Oklahoma Statutes shall not apply to the Oklahoma Department of Securities or the Oklahoma Securities Commission. ## Nearby sections - [Okla. Stat. tit. 71, § 71-1-101 Short title](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-101.md) - [Okla. Stat. tit. 71, § 71-1-102 Definitions](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-102.md) - [Okla. Stat. tit. 71, § 71-1-103 References to federal statutes](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-103.md) - [Okla. Stat. tit. 71, § 71-1-104 References to federal agencies](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-104.md) - [Okla. Stat. tit. 71, § 71-1-105 Electronic records and signatures](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-105.md) - [Okla. Stat. tit. 71, § 71-1-201 Exempt securities](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-201.md) - [Okla. Stat. tit. 71, § 71-1-202 Exempt transactions](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-202.md) - [Okla. Stat. tit. 71, § 71-1-203 Additional exemptions and waivers](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-203.md) - [Okla. Stat. tit. 71, § 71-1-204 Denial, suspension of application, revocation,](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-204.md) - [Okla. Stat. tit. 71, § 71-1-301 Securities registration requirement](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-301.md) - [Okla. Stat. tit. 71, § 71-1-302 Federal covered security – Notice filing](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-302.md) - [Okla. Stat. tit. 71, § 71-1-303 Securities registration by coordination](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-303.md) - [Okla. Stat. tit. 71, § 71-1-304 Securities registration by qualification](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-304.md) - [Okla. Stat. tit. 71, § 71-1-305 Registration filings](https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-305.md) --- Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_OK_T71_S71-1-612. Check the current official text before relying on it. Not legal advice.