2013 ORS § 59.991¹
Criminal penalties for ORS 59.005 to 59.451 and 59.710 to 59.830
  • exceptions

(1) Except as provided in subsection (3) of this section, violation of any provision of ORS 59.005 (Short title) to 59.451 (Prohibition against filing false statement by person under investigation or examination), 59.710 (Definitions for ORS 59.710 to 59.830) to 59.830 (Self-incrimination by witness), 59.991 (Criminal penalties for ORS 59.005 to 59.451 and 59.710 to 59.830) and 59.995 (Civil penalties for ORS 59.005 to 59.451 and 59.710 to 59.830) or any rule adopted by the Director of the Department of Consumer and Business Services under ORS 59.005 (Short title) to 59.451 (Prohibition against filing false statement by person under investigation or examination), 59.710 (Definitions for ORS 59.710 to 59.830) to 59.830 (Self-incrimination by witness), 59.991 (Criminal penalties for ORS 59.005 to 59.451 and 59.710 to 59.830) and 59.995 (Civil penalties for ORS 59.005 to 59.451 and 59.710 to 59.830), except ORS 59.315 (Oaths and subpoenas in proceedings before director) (2) or 59.810 (Delivery to customer of true statement of purchase or sale made by broker), is a Class B felony.

(2) Violation of ORS 59.315 (Oaths and subpoenas in proceedings before director) (2) or 59.810 (Delivery to customer of true statement of purchase or sale made by broker) is a Class A misdemeanor.

(3) This section does not apply to a failure to file a notice and pay a fee under ORS 59.049 (Federal covered securities exempt from registration) (1), (2) or (3), nor to a failure to file a notice and pay a fee pursuant to ORS 59.165 (Licensing of broker-dealers, investment advisers and salespersons required) (7), nor to a failure to pay a fee pursuant to ORS 59.175 (Procedures for notice filing and licensing) (8), nor to a violation of any rule adopted by the director under ORS 59.049 (Federal covered securities exempt from registration) (1), (2) or (3), 59.165 (Licensing of broker-dealers, investment advisers and salespersons required) (7) or 59.175 (Procedures for notice filing and licensing) (8). [1967 c.537 §35; 1981 c.292 §5; 1987 c.603 §24; 1997 c.772 §28; 1999 c.53 §5]