Oregon Administrative Rules
Chapter 441 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, FINANCE AND SECURITIES REGULATION
Division 175 - LICENSING OF BROKER-DEALERS, INVESTMENT ADVISERS, AND SALESPERSONS
- Section 441-175-0002 - Fees for Licensing or Notice Filing of Firms and Individuals
- Section 441-175-0010 - Definitions
- Section 441-175-0015 - When Licensing Application Deemed Abandoned
- Section 441-175-0020 - Exclusion from Definition of "Broker-Dealer"
- Section 441-175-0030 - Exclusion from Definition of "Investment Adviser"
- Section 441-175-0040 - Exclusion from Definition of "Salesperson"
- Section 441-175-0041 - Exclusion from Definition of "Investment Adviser Representative"
- Section 441-175-0046 - Federal Covered Investment Advisor Representative
- Section 441-175-0050 - Rules of Fair Practice for Real Estate Licensees
- Section 441-175-0055 - Rules of Fair Practice for Mortgage Banker and Mortgage Broker Licensees
- Section 441-175-0060 - Licensing Rule Implementing, 1997 Oregon Laws Chapter 772 and the National Markets Improvement Act of 1996
- Section 441-175-0070 - General Licensing Rules for Broker-Dealers, Investment Advisers and Salespersons, Succession and Acquisition
- Section 441-175-0080 - Applications for Licensing of Broker-Dealers
- Section 441-175-0085 - Limited Licensing of Canadian Broker-Dealers and Salespersons
- Section 441-175-0100 - Applications for Licensing of Investment Advisers
- Section 441-175-0105 - Material Changes, Amendments and Notice of Civil and Criminal Actions
- Section 441-175-0110 - Surety Bond; Letter of Credit
- Section 441-175-0120 - Licensing of Salespersons or Representatives to Non-FINRA Broker-Dealers, State or Federal Covered Investment Advisers, Issuers and Owners of Securities
- Section 441-175-0130 - Licensing of Salespersons to FINRA Broker-Dealers
- Section 441-175-0140 - Disqualification from Automatic Licensing
- Section 441-175-0150 - Termination or Cancellation of Salesperson or Investment Adviser Representative License
- Section 441-175-0160 - Renewal of FINRA Broker-Dealer and Salesperson Licenses
- Section 441-175-0165 - Renewal of the Licenses of Non-FINRA Broker-Dealers or State Investment Advisers, and Their Salespersons or Investment Adviser Representatives
- Section 441-175-0171 - Use of Trade Name or Assumed Business Name
- Section 441-175-0175 - Internet Communications
- Section 441-175-0185 - Errors and Omissions Coverage under ORS 59.175
- Section 441-175-0190 - Definitions for Investment Adviser Continuing Education
- Section 441-175-0195 - Investment Adviser Representative Continuing Education
Disclaimer: These regulations may not be the most recent version. Oregon may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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