Ask a question on the site
Questions
Lawyers
Blogs
Legislation
Contacts
Become a lawyer
Login Registration
Section 59.015 - Definitions for Oregon Securities Law. - (1) "Broker-dealer" means a person who engages, all or part...
Section 59.025 - Securities exempt from registration. - (1)(a) A security issued or guaranteed by the United States...
Section 59.035 - Transactions exempt from registration. - (1) Any transaction by a sheriff, marshal or court appointed...
Section 59.045 - Authority of director to deny, withdraw or condition exemptions. - (a) Deny, withdraw or condition the exemptions allowed by ORS...
Section 59.049 - Federal covered securities exempt from registration; notice filings; fees; rules. - (1) Unless otherwise exempt from registration under ORS 59.025 or...
Section 59.055 - Conditions of offer and sale of securities. - (1) The security is registered and the offer or sale...
Section 59.065 - Registration procedures; application; fees; rules. - (2) Every registration application submitted shall be accompanied by a...
Section 59.070 - Amended registration application; when required; fees. - (2) Applications for an amendment to increase the aggregate amount...
Section 59.075 - Registration by director; expiration; renewal; fee; rules. - (2) Every registration of securities and every notice filed under...
Section 59.085 - Conditions imposed on registration. - (1) That a prospectus containing any designated part of the...
Section 59.095 - Approval of plan to issue securities in exchange for other securities, claims or property. - (2) The request for approval shall be made by filing...
Section 59.105 - Denial, suspension or revocation of registration. - (a) The proposed plan of business of the issuer, the...
Section 59.115 - Liability in connection with sale or successful solicitation of sale of securities; recovery by purchaser; limitations on proceeding; attorney fees. - (a) Sells or successfully solicits the sale of a security,...
Section 59.125 - Effect of notice of offer to repay purchaser; exceptions; registration of transaction. - (2) The notice shall contain: (a) An offer to pay...
Section 59.127 - Liability in connection with purchase or successful solicitation of purchase of securities; recovery by seller; limitations on proceeding; attorney fees. - (a) Purchases or successfully solicits the purchase of a security,...
Section 59.131 - Effect of notice of intent to return unlawfully purchased security; contents of notice; registration of transaction. - (2) The notice shall contain: (a) An offer to tender...
Section 59.135 - Fraud and deceit with respect to securities or securities business. - (1) To employ any device, scheme or artifice to defraud;...
Section 59.137 - Liability in connection with violation of ORS 59.135; damages; defense; attorney fees; limitations on proceeding. - (2) Any person who directly or indirectly controls a person...
Section 59.145 - Effect of notice filing, registration or license. - (2) It is unlawful to make, or cause to be...
Section 59.155 - Director is agent for service of process; manner of service; exceptions. - (a) Every licensee or registrant or applicant for a license...
Section 59.165 - Licensing of broker-dealers, investment advisers and salespersons required; rules. - (2) A broker-dealer or state investment adviser may not be...
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. - (2) The director may require an applicant for a license...
Section 59.185 - Expiration of license; rules for renewal; change in personnel. - (2)(a) Every license of an issuer’s or owner’s salesperson expires...
Section 59.195 - Licensees to keep records; inspection; filing of financial reports. - (2) Subject to the provisions of section 15 of the...
Section 59.205 - Grounds for denying, suspending, revoking or imposing condition or restriction on license. - (1) Is insolvent, either in the sense that the liabilities...
Section 59.215 - Action against applicant or licensee for act or omission of associate; exceptions. - (1) This section shall not apply to any issuer of...
Section 59.225 - Cancellation of license or application; application for withdrawal; effect of suspension or revocation. - (2)(a) A broker-dealer, state investment adviser, investment adviser representative or...
Section 59.245 - Investigations; publicity with respect to violations; cease and desist order. - (1) May make such public or private investigations within or...
Section 59.255 - Enjoining violations; fine; appointment of receiver; attorney fees; damages to private parties. - (2) The court may fine the person against whom the...
Section 59.265 - Procedure when assets or capital of broker-dealer or investment adviser found impaired; involuntary liquidation. - (2) If any person refuses to permit the director to...
Section 59.285 - Rules; financial statements. - (2) No rule may be made, amended or rescinded unless...
Section 59.295 - Notice of orders; hearings on orders. - (a) The issuer and applicant or registrant affected thereby with...
Section 59.305 - Judicial review of orders. - (2) A judgment of a reviewing court under ORS chapter...
Section 59.315 - Oaths and subpoenas in proceedings before director. - (2) If a person fails to comply with a subpoena...
Section 59.325 - Certified copies of documents; fee; effect of certification. - (2) A certificate of the director as to compliance or...
Section 59.331 - Scope of Attorney General powers; consent of director; powers of circuit court; damages, restitution, disgorgement and other penalties. - (a) Make public or private investigations within or outside this...
Section 59.335 - Application of certain sections. - (a) An offer to sell is made in this state;...
Section 59.345 - When offer to sell or buy is made in this state. - (a) Originates from this state; or (b) Is directed by...
Section 59.350 - Treatment of certain transactions. - (1) A transaction with spouses married to each other is...
Section 59.355 - Corporations subject to other laws. - (1) Does not repeal any law regulating the organization of...
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. - (2) A broker-dealer, federal covered investment adviser or state investment...
Section 59.480 - Definitions for ORS 59.480 to 59.505. - (1)(a) "Financial exploitation" means: (A) Wrongfully taking assets, funds or...
Section 59.485 - Required reporting by certain securities professionals of suspected financial exploitation. - (2) A notification made under subsection (1) of this section...
Section 59.490 - Notifications to third parties. - (2) Disclosure may not be made under this section to...
Section 59.495 - Delay of disbursements; notifications. - (a) The broker-dealer, the state investment adviser or a qualified...
Section 59.500 - Limitation on liability. - (1) Disclosing information under ORS 59.485, 59.490 or 59.505; (2)...
Section 59.505 - Provision of records to law enforcement and certain state agencies. - (2) A record made available to an agency under this...
Section 59.535 - Definitions for ORS 59.535 to 59.585. - (1) "Beneficiary form" means a registration of a security which...
Section 59.570 - Protection of registering entity. - (2) By accepting a request for registration of a security...
Section 59.575 - Nontestamentary transfer on death. - (2) ORS 59.535 to 59.585 do not limit the rights...
Section 59.580 - Terms, conditions and forms for registration. - (2) The following are illustrations of registrations in beneficiary form...
Section 59.585 - Short title; rules of construction. - (2) ORS 59.535 to 59.585 shall be liberally construed and...
Section 59.710 - Definitions for ORS 59.710 to 59.830. - (1) "Security," "securities" or "securities or commodities," mean and include...
Section 59.730 - Making contract involving securities without intending a bona fide sale or purchase. - (1) Intending that the contract shall be terminated, closed or...
Section 59.780 - Broker’s trading against customer’s order; violation of ORS 59.780 to 59.800 by member of broker’s firm. - (2) No broker, employed by a customer to sell stocks...
Section 59.800 - Pledge or sale by broker-dealer of customer’s securities. - (1) While having in the possession of the broker-dealer, for...
Section 59.820 - Actions against corporation for second violation. - (2) If a foreign corporation is convicted of a second...
Section 59.991 - Criminal penalties for ORS 59.005 to 59.505 and 59.710 to 59.830; exceptions. - (2) Violation of ORS 59.315 (2) or 59.810 is a...
Section 59.995 - Civil penalties for ORS 59.005 to 59.505 and 59.710 to 59.830; exceptions. - (b) Notwithstanding paragraph (a) of this subsection, any person who...