2021 Oregon Revised Statutes
Chapter 059 - Securities Regulation
Section 59.145 - Effect of notice filing, registration or license.

2021 Oregon Revised Statutes

Volume : 02 - Business Organizations, Commercial Code

Chapter 059 - Securities Regulation

Section 59.015 - Definitions for Oregon Securities Law.

Section 59.025 - Securities exempt from registration.

Section 59.035 - Transactions exempt from registration.

Section 59.045 - Authority of director to deny, withdraw or condition exemptions.

Section 59.049 - Federal covered securities exempt from registration; notice filings; fees; rules.

Section 59.055 - Conditions of offer and sale of securities.

Section 59.065 - Registration procedures; application; fees; rules.

Section 59.070 - Amended registration application; when required; fees.

Section 59.075 - Registration by director; expiration; renewal; fee; rules.

Section 59.085 - Conditions imposed on registration.

Section 59.095 - Approval of plan to issue securities in exchange for other securities, claims or property.

Section 59.105 - Denial, suspension or revocation of registration.

Section 59.115 - Liability in connection with sale or successful solicitation of sale of securities; recovery by purchaser; limitations on proceeding; attorney fees.

Section 59.125 - Effect of notice of offer to repay purchaser; exceptions; registration of transaction.

Section 59.127 - Liability in connection with purchase or successful solicitation of purchase of securities; recovery by seller; limitations on proceeding; attorney fees.

Section 59.131 - Effect of notice of intent to return unlawfully purchased security; contents of notice; registration of transaction.

Section 59.135 - Fraud and deceit with respect to securities or securities business.

Section 59.137 - Liability in connection with violation of ORS 59.135; damages; defense; attorney fees; limitations on proceeding.

Section 59.145 - Effect of notice filing, registration or license.

Section 59.155 - Director is agent for service of process; manner of service; exceptions.

Section 59.165 - Licensing of broker-dealers, investment advisers and salespersons required; rules.

Section 59.175 - Procedures for notice filing and licensing; rules; examination; bond, letter of credit or other security; insurance; filing trade name or assumed business name; fees.

Section 59.185 - Expiration of license; rules for renewal; change in personnel.

Section 59.195 - Licensees to keep records; inspection; filing of financial reports.

Section 59.205 - Grounds for denying, suspending, revoking or imposing condition or restriction on license.

Section 59.215 - Action against applicant or licensee for act or omission of associate; exceptions.

Section 59.225 - Cancellation of license or application; application for withdrawal; effect of suspension or revocation.

Section 59.245 - Investigations; publicity with respect to violations; cease and desist order.

Section 59.255 - Enjoining violations; fine; appointment of receiver; attorney fees; damages to private parties.

Section 59.265 - Procedure when assets or capital of broker-dealer or investment adviser found impaired; involuntary liquidation.

Section 59.285 - Rules; financial statements.

Section 59.295 - Notice of orders; hearings on orders.

Section 59.305 - Judicial review of orders.

Section 59.315 - Oaths and subpoenas in proceedings before director.

Section 59.325 - Certified copies of documents; fee; effect of certification.

Section 59.331 - Scope of Attorney General powers; consent of director; powers of circuit court; damages, restitution, disgorgement and other penalties.

Section 59.335 - Application of certain sections.

Section 59.345 - When offer to sell or buy is made in this state.

Section 59.350 - Treatment of certain transactions.

Section 59.355 - Corporations subject to other laws.

Section 59.370 - Limitation on liability for good faith act or omission; reports regarding salespersons or investment adviser representatives; limitation on liability related to reports; rules.

Section 59.480 - Definitions for ORS 59.480 to 59.505.

Section 59.485 - Required reporting by certain securities professionals of suspected financial exploitation.

Section 59.490 - Notifications to third parties.

Section 59.495 - Delay of disbursements; notifications.

Section 59.500 - Limitation on liability.

Section 59.505 - Provision of records to law enforcement and certain state agencies.

Section 59.535 - Definitions for ORS 59.535 to 59.585.

Section 59.570 - Protection of registering entity.

Section 59.575 - Nontestamentary transfer on death.

Section 59.580 - Terms, conditions and forms for registration.

Section 59.585 - Short title; rules of construction.

Section 59.710 - Definitions for ORS 59.710 to 59.830.

Section 59.730 - Making contract involving securities without intending a bona fide sale or purchase.

Section 59.780 - Broker’s trading against customer’s order; violation of ORS 59.780 to 59.800 by member of broker’s firm.

Section 59.800 - Pledge or sale by broker-dealer of customer’s securities.

Section 59.820 - Actions against corporation for second violation.

Section 59.991 - Criminal penalties for ORS 59.005 to 59.505 and 59.710 to 59.830; exceptions.

Section 59.995 - Civil penalties for ORS 59.005 to 59.505 and 59.710 to 59.830; exceptions.