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