Chapter 59 Securities Regulation; Mortgage Bankers and Brokers

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
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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
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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
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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
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Enforcement by Attorney General

§ 59.331 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

§ 59.451 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
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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
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Mortgage Bankers; Mortgage Brokers; Loan Originators

§ 59.840 Definitions for ORS 59.840 to 59.980
§ 59.845 License required to engage in residential mortgage transactions as mortgage banker or mortgage broker
§ 59.850 Procedures for licensing
§ 59.855 Expiration of license
§ 59.860 Licensees to keep records
§ 59.865 Grounds for denying, suspending, conditioning or revoking license
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Penalties

§ 59.991 Criminal penalties for ORS 59.005 to 59.451 and 59.710 to 59.830
§ 59.992 Criminal penalties for ORS 59.840 to 59.980
§ 59.995 Civil penalties for ORS 59.005 to 59.451 and 59.710 to 59.830
§ 59.996 Civil penalties for ORS 59.840 to 59.980
Source:
Legislative Counsel Committee, CHAPTER 59—Securities Regulation; Mortgage Bankers and Brokers, https://­www.­oregonlegislature.­gov/­bills_laws/­ors/­059.­html (2007) (last ac­cessed Feb. 12, 2009).