Or. Admin. R. ch. 441, div. 205 – Denial, Suspension, or Revocation of License | Midpage

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Oregon Administrative Rules

Division 205

Or. Admin. R. ch. 441, div. 205

Denial, Suspension, or Revocation of License

Department of Consumer and Business Services

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