Oregon Administrative Rules|Division 205 - DENIAL, SUSPENSION, OR REVOCATION OF LICENSE

Section 441-205-0010 - Dishonest, Fraudulent, Unfair and Unethical Practices

Section 441-205-0020 - General Definition

Section 441-205-0030 - Confirmation of Transaction

Section 441-205-0040 - Disclosure of Control

Section 441-205-0050 - Disclosure of Interest in Distributions

Section 441-205-0060 - Sales at the Market

Section 441-205-0070 - Use of Pro Forma Balance Sheets

Section 441-205-0080 - Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions

Section 441-205-0090 - Identification of Quotations

Section 441-205-0100 - Discretionary Accounts

Section 441-205-0110 - Hypothecation of Customer's Securities

Section 441-205-0120 - Transmission or Maintenance of Payments Received in Connection With Underwritings

Section 441-205-0130 - Fair Dealing with Customers

Section 441-205-0135 - Sales of Securities or Investment Advisory Services at Financial Institutions or Trust Companies

Section 441-205-0140 - Suitability of Recommendations

Section 441-205-0145 - Unethical Business Practices of State Investment Advisers and Their Investment Adviser Representatives

Section 441-205-0165 - Investment Adviser Brochure

Section 441-205-0170 - Compensation of Investment Advisers

Section 441-205-0180 - Custody or Possession of Funds or Securities of Clients by Investment Advisers

Section 441-205-0190 - Disclosure of Capacity

Section 441-205-0200 - Advertisements by Investment Advisers

Section 441-205-0210 - Supervision of Associated Persons

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