Oregon · Regulations
Division 205 — DENIAL, SUSPENSION, OR REVOCATION OF LICENSE
22 sections
22 sections
- OAR 441-205-0010OAR 441-205-0010. Dishonest, Fraudulent, Unfair and Unethical Practices
- OAR 441-205-0020OAR 441-205-0020. General Definition
- OAR 441-205-0030OAR 441-205-0030. Confirmation of Transaction
- OAR 441-205-0040OAR 441-205-0040. Disclosure of Control
- OAR 441-205-0050OAR 441-205-0050. Disclosure of Interest in Distributions
- OAR 441-205-0060OAR 441-205-0060. Sales at the Market
- OAR 441-205-0070OAR 441-205-0070. Use of Pro Forma Balance Sheets
- OAR 441-205-0080OAR 441-205-0080. Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions
- OAR 441-205-0090OAR 441-205-0090. Identification of Quotations
- OAR 441-205-0100OAR 441-205-0100. Discretionary Accounts
- OAR 441-205-0110OAR 441-205-0110. Hypothecation of Customer’s Securities
- OAR 441-205-0120OAR 441-205-0120. Transmission or Maintenance of Payments Received in Connection With Underwritings
- OAR 441-205-0130OAR 441-205-0130. Fair Dealing with Customers
- OAR 441-205-0135OAR 441-205-0135. Sales of Securities or Investment Advisory Services at Financial Institutions or Trust Companies
- OAR 441-205-0140OAR 441-205-0140. Suitability of Recommendations
- OAR 441-205-0145OAR 441-205-0145. Unethical Business Practices of State Investment Advisers and Their Investment Adviser Representatives
- OAR 441-205-0165OAR 441-205-0165. Investment Adviser Brochure
- OAR 441-205-0170OAR 441-205-0170. Compensation of Investment Advisers
- OAR 441-205-0180OAR 441-205-0180. Custody or Possession of Funds or Securities of Clients by Investment Advisers
- OAR 441-205-0190OAR 441-205-0190. Disclosure of Capacity
- OAR 441-205-0200OAR 441-205-0200. Advertisements by Investment Advisers
- OAR 441-205-0210OAR 441-205-0210. Supervision of Associated Persons