Oregon Administrative Rules
Chapter 836 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, INSURANCE REGULATION
Division 24 - DOMESTIC INSURERS; ORGANIZATION; CORPORATE PROCEDURES
Section 836-024-0135 - Exemptions from ORS 732.420 to 732.455 of Securities Purchased or Sold by Odd-lot Dealers
Universal Citation: OR Admin Rules 836-024-0135
Current through Register Vol. 63, No. 9, September 1, 2024
Securities purchased or sold by an odd-lot dealer are exempt from ORS 732.420 to 732.455 with respect to participation by the odd-lot dealer when the securities are purchased or sold:
(1) In odd lots that are reasonably necessary to carry on odd-lot transactions; or
(2) In round lots to offset odd-lot transactions previously or simultaneously executed or reasonably anticipated in the usual course of business.
Stat. Auth: ORS 731.244, 732.420, 732.430, 732.435, 732.445, 732.450, 732.455
Stats. Implemented: ORS 732.420 - 732.455
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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