Or. Admin. Code § 441-195-0060 - Notice of Complaint
(1) Each
broker-dealer and each investment adviser who has filed a complaint against any
of its partners, officers, directors, or associated persons registered in
Oregon, with any law enforcement agency, any other regulatory agency having
jurisdiction over the securities industry, or with any bonding company
regarding any loss arising from alleged acts of such person, shall send a copy
of such complaint to the Director within ten days following its filing with
such other agency or bonding company.
(2) A copy of any finding, censure, fine,
suspension, or expulsion made as a result of any such complaint shall be filed
with the Director within ten days following such action.
Notes
Stat. Auth.: ORS 59
Stats. Implemented: ORS 59.195, ORS 59.205 & ORS 59.235
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