Oregon · Regulations
Division 195 — RECORDS AND REPORTS
7 sections
7 sections
- OAR 441-195-0010OAR 441-195-0010. Customer and Account Records by Broker-Dealers
- OAR 441-195-0020OAR 441-195-0020. Business Records by Broker-Dealers
- OAR 441-195-0030OAR 441-195-0030. Records to be Preserved by Certain Broker-Dealers
- OAR 441-195-0040OAR 441-195-0040. Books and Records to Be Maintained by Investment Advisers
- OAR 441-195-0050OAR 441-195-0050. Reports by Broker-Dealers and Investment Advisers
- OAR 441-195-0060OAR 441-195-0060. Notice of Complaint
- OAR 441-195-0070OAR 441-195-0070. Discretionary Authority