Division 175 - LICENSING OF BROKER-DEALERS, INVESTMENT ADVISERS, AND SALESPERSONS

  1. § 441-175-0002 - Fees for Licensing or Notice Filing of Firms and Individuals
  2. § 441-175-0010 - Definitions
  3. § 441-175-0015 - When Licensing Application Deemed Abandoned
  4. § 441-175-0020 - Exclusion from Definition of "Broker-Dealer"
  5. § 441-175-0030 - Exclusion from Definition of "Investment Adviser"
  6. § 441-175-0040 - Exclusion from Definition of "Salesperson"
  7. § 441-175-0041 - Exclusion from Definition of "Investment Adviser Representative"
  8. § 441-175-0046 - Federal Covered Investment Advisor Representative
  9. § 441-175-0050 - Rules of Fair Practice for Real Estate Licensees
  10. § 441-175-0055 - Rules of Fair Practice for Mortgage Banker and Mortgage Broker Licensees
  11. § 441-175-0060 - Licensing Rule Implementing, 1997 Oregon Laws Chapter 772 and the National Markets Improvement Act of 1996
  12. § 441-175-0070 - General Licensing Rules for Broker-Dealers, Investment Advisers and Salespersons, Succession and Acquisition
  13. § 441-175-0080 - Applications for Licensing of Broker-Dealers
  14. § 441-175-0085 - Limited Licensing of Canadian Broker-Dealers and Salespersons
  15. § 441-175-0100 - Applications for Licensing of Investment Advisers
  16. § 441-175-0105 - Material Changes, Amendments and Notice of Civil and Criminal Actions
  17. § 441-175-0110 - Surety Bond; Letter of Credit
  18. § 441-175-0120 - Licensing of Salespersons or Representatives to Non-FINRA Broker-Dealers, State or Federal Covered Investment Advisers, Issuers and Owners of Securities
  19. § 441-175-0130 - Licensing of Salespersons to FINRA Broker-Dealers
  20. § 441-175-0140 - Disqualification from Automatic Licensing
  21. § 441-175-0150 - Termination or Cancellation of Salesperson or Investment Adviser Representative License
  22. § 441-175-0160 - Renewal of FINRA Broker-Dealer and Salesperson Licenses
  23. § 441-175-0165 - Renewal of the Licenses of Non-FINRA Broker-Dealers or State Investment Advisers, and Their Salespersons or Investment Adviser Representatives
  24. § 441-175-0171 - Use of Trade Name or Assumed Business Name
  25. § 441-175-0175 - Internet Communications
  26. § 441-175-0185 - Errors and Omissions Coverage under ORS 59.175
  27. § 441-175-0190 - Definitions for Investment Adviser Continuing Education
  28. § 441-175-0195 - Investment Adviser Representative Continuing Education

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