Chapter 59 Securities Regulation

Oregon Securities Law

§ 59.005		Short title
§ 59.015		Definitions for Oregon Securities Law
§ 59.025		Securities exempt from registration
§ 59.035		Transactions exempt from registration
§ 59.045		Authority of director to deny, withdraw or condition exemptions
§ 59.049		Federal covered securities exempt from registration
§ 59.051		Statutory references to federal law

(Registration Of Securities)

§ 59.055		Conditions of offer and sale of securities
§ 59.065		Registration procedures
§ 59.070		Amended registration application
§ 59.075		Registration by director
§ 59.085		Conditions imposed on registration
§ 59.095		Approval of plan to issue securities in exchange for other securities, claims or property
§ 59.105		Denial, suspension or revocation of registration
§ 59.115		Liability in connection with sale or successful solicitation of sale of securities

(Licensing Of Broker Dealers, Investment Advisers And Salespersons)

§ 59.165		Licensing of broker-dealers, investment advisers and salespersons required
§ 59.175		Procedures for notice filing and licensing
§ 59.185		Expiration of license
§ 59.195		Licensees to keep records
§ 59.205		Grounds for denying, suspending, revoking or imposing condition or restriction on license
§ 59.215		Action against applicant or licensee for act or omission of associate
§ 59.225		Cancellation of license or application

(Powers Of Director)

§ 59.235		General supervision over persons dealing in securities
§ 59.245		Investigations
§ 59.255		Enjoining violations
§ 59.265		Procedure when assets or capital of broker-dealer or investment adviser found impaired
§ 59.275		Burden of proof
§ 59.285		Rules
§ 59.295		Notice of orders
§ 59.305		Judicial review of orders

(Enforcement By Attorney General)

Scope of Attorney General powers

(Miscellaneous Provisions)

§ 59.335		Application of certain sections
§ 59.345		When offer to sell or buy is made in this state
§ 59.350		Treatment of certain transactions
§ 59.355		Corporations subject to other laws
§ 59.365		Common-law and statutory rights not limited
§ 59.370		Limitation on liability for good faith act or omission

(Required Reports And Statements)

Prohibition against filing false statement by person under investigation or examination

Uniform Tod Security Registration Act

§ 59.535		Definitions for ORS 59.535 to 59.585
§ 59.540		Registration in beneficiary form
§ 59.545		Registration in beneficiary form
§ 59.550		Origination of registration in beneficiary form
§ 59.555		Form of registration in beneficiary form
§ 59.560		Effect of registration in beneficiary form
§ 59.565		Ownership on death of owner
§ 59.570		Protection of registering entity

Prohibition Of Certain Security Transactions

§ 59.710		Definitions for ORS 59.710 to 59.830
§ 59.720		Application of ORS 59.710 to 59.830 to real estate contracts and brokers
§ 59.730		Making contract involving securities without intending a bona fide sale or purchase
§ 59.740		Conducting bucket shop or repeatedly making forbidden contracts
§ 59.750		Receipt or communication of prices for purpose of forbidden contract
§ 59.760		Reporting false sale of securities with intent to deceive
§ 59.770		Manipulating market by pretended sales
§ 59.780		Brokers trading against customers order

Penalties

§ 59.991		Criminal penalties for ORS 59.005 to 59.451 and 59.710 to 59.830
§ 59.995		Civil penalties for ORS 59.005 to 59.451 and 59.710 to 59.830