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Oregon Administrative Rules

Division 175

Or. Admin. R. ch. 441, div. 175

Licensing of Broker-dealers, Investment Advisers, and Salespersons

Department of Consumer and Business Services

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