Oregon Administrative Rules|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

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