OAR 441-195: Records And Reports

7 rules in Division 195, Chapter 441 (Department of Consumer and Business Services, Finance and Securities Regulation).

  1. OAR 441-195-0010: Customer and Account Records by Broker-Dealers
  2. OAR 441-195-0020: Business Records by Broker-Dealers
  3. OAR 441-195-0030: Records to be Preserved by Certain Broker-Dealers
  4. OAR 441-195-0040: Books and Records to Be Maintained by Investment Advisers
  5. OAR 441-195-0050: Reports by Broker-Dealers and Investment Advisers
  6. OAR 441-195-0060: Notice of Complaint
  7. OAR 441-195-0070: Discretionary Authority