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