OAR 441-175: Licensing Of Broker-Dealers, Investment Advisers, And Salespersons

28 rules in Division 175, Chapter 441 (Department of Consumer and Business Services, Finance and Securities Regulation).

  1. OAR 441-175-0002: Fees for Licensing or Notice Filing of Firms and Individuals
  2. OAR 441-175-0010: Definitions
  3. OAR 441-175-0015: When Licensing Application Deemed Abandoned
  4. OAR 441-175-0020: Exclusion from Definition of “Broker-Dealer”
  5. OAR 441-175-0030: Exclusion from Definition of “Investment Adviser”
  6. OAR 441-175-0040: Exclusion from Definition of “Salesperson”
  7. OAR 441-175-0041: Exclusion from Definition of “Investment Adviser Representative”
  8. OAR 441-175-0046: Federal Covered Investment Advisor Representative
  9. OAR 441-175-0050: Rules of Fair Practice for Real Estate Licensees
  10. OAR 441-175-0055: Rules of Fair Practice for Mortgage Banker and Mortgage Broker Licensees
  11. OAR 441-175-0060: Licensing Rule Implementing, 1997 Oregon Laws Chapter 772 and the National Markets Improvement Act of 1996
  12. OAR 441-175-0070: General Licensing Rules for Broker-Dealers, Investment Advisers and Salespersons, Succession and Acquisition
  13. OAR 441-175-0080: Applications for Licensing of Broker-Dealers
  14. OAR 441-175-0085: Limited Licensing of Canadian Broker-Dealers and Salespersons
  15. OAR 441-175-0100: Applications for Licensing of Investment Advisers
  16. OAR 441-175-0105: Material Changes, Amendments and Notice of Civil and Criminal Actions
  17. OAR 441-175-0110: Surety Bond; Letter of Credit
  18. OAR 441-175-0120: Licensing of Salespersons or Representatives to Non-FINRA Broker-Dealers, State or Federal Covered Investment Advisers, Issuers and Owners of Securities
  19. OAR 441-175-0130: Licensing of Salespersons to FINRA Broker-Dealers
  20. OAR 441-175-0140: Disqualification from Automatic Licensing
  21. OAR 441-175-0150: Termination or Cancellation of Salesperson or Investment Adviser Representative License
  22. OAR 441-175-0160: Renewal of FINRA Broker-Dealer and Salesperson Licenses
  23. OAR 441-175-0165: Renewal of the Licenses of Non-FINRA Broker-Dealers or State Investment Advisers, and Their Salespersons or Investment Adviser Representatives
  24. OAR 441-175-0171: Use of Trade Name or Assumed Business Name
  25. OAR 441-175-0175: Internet Communications
  26. OAR 441-175-0185: Errors and Omissions Coverage under ORS 59.175
  27. OAR 441-175-0190: Definitions for Investment Adviser Continuing Education
  28. OAR 441-175-0195: Investment Adviser Representative Continuing Education