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