Oregon · Regulations
Division 175 — LICENSING OF BROKER-DEALERS, INVESTMENT ADVISERS, AND SALESPERSONS
28 sections
28 sections
- OAR 441-175-0002OAR 441-175-0002. Fees for Licensing or Notice Filing of Firms and Individuals
- OAR 441-175-0010OAR 441-175-0010. Definitions
- OAR 441-175-0015OAR 441-175-0015. When Licensing Application Deemed Abandoned
- OAR 441-175-0020OAR 441-175-0020. Exclusion from Definition of “Broker-Dealer”
- OAR 441-175-0030OAR 441-175-0030. Exclusion from Definition of “Investment Adviser”
- OAR 441-175-0040OAR 441-175-0040. Exclusion from Definition of “Salesperson”
- OAR 441-175-0041OAR 441-175-0041. Exclusion from Definition of “Investment Adviser Representative”
- OAR 441-175-0046OAR 441-175-0046. Federal Covered Investment Advisor Representative
- OAR 441-175-0050OAR 441-175-0050. Rules of Fair Practice for Real Estate Licensees
- OAR 441-175-0055OAR 441-175-0055. Rules of Fair Practice for Mortgage Banker and Mortgage Broker Licensees
- OAR 441-175-0060OAR 441-175-0060. Licensing Rule Implementing, 1997 Oregon Laws Chapter 772 and the National Markets Improvement Act of 1996
- OAR 441-175-0070OAR 441-175-0070. General Licensing Rules for Broker-Dealers, Investment Advisers and Salespersons, Succession and Acquisition
- OAR 441-175-0080OAR 441-175-0080. Applications for Licensing of Broker-Dealers
- OAR 441-175-0085OAR 441-175-0085. Limited Licensing of Canadian Broker-Dealers and Salespersons
- OAR 441-175-0100OAR 441-175-0100. Applications for Licensing of Investment Advisers
- OAR 441-175-0105OAR 441-175-0105. Material Changes, Amendments and Notice of Civil and Criminal Actions
- OAR 441-175-0110OAR 441-175-0110. Surety Bond; Letter of Credit
- OAR 441-175-0120OAR 441-175-0120. Licensing of Salespersons or Representatives to Non-FINRA Broker-Dealers, State or Federal Covered Investment Advisers, Issuers and Owners of Securities
- OAR 441-175-0130OAR 441-175-0130. Licensing of Salespersons to FINRA Broker-Dealers
- OAR 441-175-0140OAR 441-175-0140. Disqualification from Automatic Licensing
- OAR 441-175-0150OAR 441-175-0150. Termination or Cancellation of Salesperson or Investment Adviser Representative License
- OAR 441-175-0160OAR 441-175-0160. Renewal of FINRA Broker-Dealer and Salesperson Licenses
- OAR 441-175-0165OAR 441-175-0165. Renewal of the Licenses of Non-FINRA Broker-Dealers or State Investment Advisers, and Their Salespersons or Investment Adviser Representatives
- OAR 441-175-0171OAR 441-175-0171. Use of Trade Name or Assumed Business Name
- OAR 441-175-0175OAR 441-175-0175. Internet Communications
- OAR 441-175-0185OAR 441-175-0185. Errors and Omissions Coverage under ORS 59.175
- OAR 441-175-0190OAR 441-175-0190. Definitions for Investment Adviser Continuing Education
- OAR 441-175-0195OAR 441-175-0195. Investment Adviser Representative Continuing Education