There is a newer version of the Oregon Revised Statutes
2011 Oregon Revised Statutes
ORS Volume 2, Chapters 56 - 89
ORS Chapter 59
- 59.005 Short title.
- 59.010 [Repealed by 1967 c.537 36]
- 59.015 Definitions for Oregon Securities Law.
- 59.020 [Repealed by 1967 c.537 36]
- 59.025 Securities exempt from registration.
- 59.030 [Repealed by 1967 c.537 36]
- 59.035 Transactions exempt from registration.
- 59.045 Authority of director to deny, withdraw or condition exemptions.
- 59.047 [1981 c.292 2; 1985 c.349 5; repealed by 1987 c.603 30]
- 59.049 Federal covered securities exempt from registration; notice filings; fees; rules.
- 59.050 [1981 c.292 3; 1985 c.349 6; repealed by 1987 c.603 30]
- 59.051 Statutory references to federal law.
- 59.052 [1981 c.292 4; 1985 c.349 7; repealed by 1987 c.603 30] (Registration of Securities)
- 59.055 Conditions of offer and sale of securities.
- 59.065 Registration procedures; application; fees; rules.
- 59.070 Amended registration application; when required; fees.
- 59.075 Registration by director; expiration; renewal; fee; rules.
- 59.078 [1973 c.366 8; repealed by 1987 c.603 30]
- 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.
- 59.110 [Amended by 1953 c.690 3; 1955 c.201 1; 1957 c.47 1; 1963 c.244 1; 1965 c.241 2; repealed by 1967 c.537 36]
- 59.115 Liability in connection with sale or successful solicitation of sale of securities; recovery by purchaser; limitations on proceeding; attorney fees.
- 59.120 [Amended by 1955 c.196 1; 1957 c.116 1; 1963 c.244 2; repealed by 1967 c.537 36]
- 59.125 Effect of notice of offer to repay purchaser; exceptions; registration of transaction.
- 59.127 Liability in connection with purchase or successful solicitation of purchase of securities; recovery by seller; limitations on proceeding; attorney fees.
- 59.130 [Amended by 1953 c.549 138; repealed by 1967 c.537 36]
- 59.131 Effect of notice of intent to return unlawfully purchased security; contents of notice; registration of transaction.
- 59.135 Fraud and deceit with respect to securities or securities business.
- 59.137 Liability in connection with violation of ORS 59.135; damages; defense; attorney fees; limitations on proceeding.
- 59.140 [Repealed by 1967 c.537 36]
- 59.145 Effect of notice filing, registration or license.
- 59.150 [Amended by 1957 c.45 1; repealed by 1967 c.537 36]
- 59.155 Director is agent for service of process; manner of service; exceptions.
- 59.160 [Repealed by 1967 c.537 36] (Licensing of Broker-Dealers, Investment Advisers and Salespersons)
- 59.165 Licensing of broker-dealers, investment advisers and salespersons required; rules.
- 59.170 [Amended by 1961 c.352 1; repealed by 1967 c.537 36]
- 59.175 Procedures for notice filing and licensing; rules; examination; bond, letter of credit or other security; filing trade name or assumed business name; fees.
- 59.180 [Amended by 1957 c.48 1; repealed by 1967 c.537 36]
- 59.185 Expiration of license; rules for renewal; change in personnel.
- 59.190 [Repealed by 1967 c.537 36]
- 59.193 [1973 c.366 9; 1975 c.491 3; 1985 c.349 19; repealed by 1987 c.603 30]
- 59.195 Licensees to keep records; inspection; filing of financial reports.
- 59.200 [Amended by 1955 c.198 1; 1957 c.58 1; 1959 c.280 1; repealed by 1967 c.537 36]
- 59.205 Grounds for denying, suspending, revoking or imposing condition or restriction on license.
- 59.210 [Amended by 1955 c.179 1; repealed by 1963 c.244 3 (59.211 enacted in lieu of 59.210)]
- 59.211 [1963 c.244 4 (enacted in lieu of 59.210); repealed by 1967 c.537 36]
- 59.215 Action against applicant or licensee for act or omission of associate; exceptions.
- 59.220 [Repealed by 1967 c.537 36]
- 59.225 Cancellation of license or application; application for withdrawal; effect of suspension or revocation.
- 59.230 [Repealed by 1967 c.537 36] (Powers of Director)
- 59.235 General supervision over persons dealing in securities.
- 59.240 [Repealed by 1955 c.198 2]
- 59.245 Investigations; publicity with respect to violations; cease and desist order.
- 59.250 [Amended by 1963 c.244 5; repealed by 1967 c.537 36]
- 59.255 Enjoining violations; fine; appointment of receiver; attorney fees; damages to private parties.
- 59.260 [Repealed by 1967 c.537 36]
- 59.265 Procedure when assets or capital of broker-dealer or investment adviser found impaired; involuntary liquidation.
- 59.275 Burden of proof.
- 59.285 Rules; financial statements.
- 59.295 Notice of orders; hearings on orders.
- 59.305 Judicial review of orders.
- 59.310 [Amended by 1957 c.46 1; 1961 c.352 2; 1963 c.244 6; repealed by 1967 c.537 36]
- 59.315 Oaths and subpoenas in proceedings before director.
- 59.320 [Amended by 1961 c.352 3; repealed by 1967 c.537 36]
- 59.325 Certified copies of documents; fee; effect of certification.
- 59.330 [Amended by 1961 c.280 6; repealed by 1967 c.537 36] (Enforcement by Attorney General)
- 59.331 Scope of Attorney General powers; consent of director; powers of circuit court; damages, restitution, disgorgement and other penalties.
- 59.335 Application of certain sections.
- 59.340 [Amended by 1963 c.244 7; repealed by 1967 c.537 36]
- 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; reports regarding salespersons or investment adviser representatives; limitation on liability related to reports; rules.
- 59.375 [1967 c.537 34; repealed by 1987 c.603 30]
- 59.405 [1971 c.641 3; 1975 c.491 4; repealed by 1987 c.603 30]
- 59.410 [Repealed by 1967 c.537 36]
- 59.415 [1971 c.641 4; 1981 c.897 11; repealed by 1987 c.603 30]
- 59.420 [Repealed by 1967 c.537 36]
- 59.425 [1971 c.641 5; repealed by 1987 c.603 30]
- 59.430 [Repealed by 1967 c.537 36]
- 59.435 [1971 c.641 6; 1981 c.897 12; repealed by 1987 c.603 30]
- 59.440 [Repealed by 1967 c.537 36]
- 59.445 [1971 c.641 7; repealed by 1987 c.603 30]
- 59.450 [Repealed by 1967 c.537 36] (Required Reports and Statements)
- 59.451 Prohibition against filing false statement by person under investigation or examination.
- 59.510 [Repealed by 1967 c.537 36]
- 59.520 [Repealed by 1967 c.537 36]
- 59.530 [Repealed by 1967 c.537 36] UNIFORM TOD SECURITY REGISTRATION ACT
- 59.535 Definitions for ORS 59.535 to 59.585.
- 59.540 Registration in beneficiary form; sole or joint tenancy ownership.
- 59.545 Registration in beneficiary form; applicable law.
- 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.
- 59.575 Nontestamentary transfer on death.
- 59.580 Terms, conditions and forms for registration.
- 59.585 Short title; rules of construction.
- 59.610 [Repealed by 1967 c.537 36]
- 59.620 [Repealed by 1967 c.537 36]
- 59.660 [Repealed by 2007 c.661 28]
- 59.670 [Amended by 1981 c.897 13; 1995 c.618 35; repealed by 2007 c.661 28]
- 59.680 [Amended by 1971 c.200 5; 1973 c.794 14; repealed by 2007 c.661 28]
- 59.690 [Repealed by 2007 c.661 28]
- 59.700 [Repealed by 2007 c.661 28] 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 Broker s trading against customer s order; violation of ORS 59.780 to 59.800 by member of broker s firm.
- 59.790 Insolvent broker-dealer receiving securities from customer.
- 59.800 Pledge or sale by broker-dealer of customer s securities.
- 59.810 Delivery to customer of true statement of purchase or sale made by broker.
- 59.820 Actions against corporation for second violation.
- 59.830 Self-incrimination by witness; immunity from prosecution.
- 59.840 [1993 c.508 1; 1995 c.129 1; 1995 c.622 13; 1997 c.211 1; 1997 c.631 377; 1999 c.36 1; 2001 c.377 40; 2001 c.952 1; 2003 c.364 47; 2003 c.655 48; 2009 c.863 14; renumbered 86A.100 in 2009]
- 59.845 [1993 c.508 2; 1999 c.36 2; renumbered 86A.103 in 2009]
- 59.850 [1993 c.508 3; 1995 c.129 2; 1997 c.631 378; 1999 c.36 3; 2009 c.863 15; renumbered 86A.106 in 2009]
- 59.855 [1993 c.508 4; 1995 c.129 3; 2009 c.863 16; renumbered 86A.109 in 2009]
- 59.860 [1993 c.508 5; 2008 c.38 1; 2009 c.863 17; renumbered 86A.112 in 2009]
- 59.865 [1993 c.508 6; 2001 c.952 10; 2009 c.863 18; renumbered 86A.115 in 2009]
- 59.870 [1993 c.508 7; renumbered 86A.118 in 2009]
- 59.875 [1993 c.508 8; 2009 c.863 19; renumbered 86A.121 in 2009]
- 59.880 [1993 c.508 9; 2001 c.952 11; 2009 c.863 20; renumbered 86A.124 in 2009]
- 59.885 [1993 c.508 10; 2007 c.71 15; renumbered 86A.127 in 2009]
- 59.890 [1993 c.508 11; 1995 c.696 12; renumbered 86A.130 in 2009]
- 59.895 [1993 c.508 12; 2003 c.576 187; renumbered 86A.133 in 2009]
- 59.900 [1993 c.508 13; 2001 c.952 12; 2009 c.863 21; renumbered 86A.136 in 2009]
- 59.905 [1993 c.508 14; 2001 c.952 13; 2009 c.863 22; renumbered 86A.139 in 2009]
- 59.910 [1993 c.508 15; 2003 c.576 322; renumbered 86A.142 in 2009]
- 59.915 [1993 c.508 16; renumbered 86A.145 in 2009]
- 59.920 [1993 c.508 17; renumbered 86A.148 in 2009]
- 59.925 [1993 c.508 18; 1995 c.696 13; 1999 c.1001 1; 2005 c.97 1; 2009 c.863 23; renumbered 86A.151 in 2009]
- 59.930 [1993 c.508 19; renumbered 86A.154 in 2009]
- 59.935 [1993 c.508 20; 1995 c.191 1; renumbered 86A.157 in 2009]
- 59.940 [1993 c.508 20a; 1995 c.191 2; renumbered 86A.160 in 2009]
- 59.945 [1993 c.508 21; renumbered 86A.163 in 2009]
- 59.950 [1993 c.508 22; renumbered 86A.166 in 2009]
- 59.955 [1993 c.508 23; renumbered 86A.169 in 2009]
- 59.960 [1993 c.508 24; renumbered 86A.172 in 2009]
- 59.962 [1999 c.36 4; 2001 c.952 14; 2009 c.863 24; renumbered 86A.175 in 2009]
- 59.965 [1995 c.129 5; renumbered 59.980 in 2001]
- 59.967 [2001 c.952 3; 2009 c.863 25; renumbered 86A.178 in 2009]
- 59.969 [2001 c.952 4; 2003 c.526 4; 2005 c.22 40; 2008 c.38 2; renumbered 86A.179 in 2009]
- 59.970 [2003 c.526 2; 2005 c.22 41; renumbered 86A.180 in 2009]
- 59.971 [2001 c.952 6; 2003 c.526 6; 2008 c.38 3; 2009 c.863 26; renumbered 86A.183 in 2009]
- 59.972 [2003 c.526 3; 2009 c.863 27; renumbered 86A.186 in 2009]
- 59.973 [2001 c.952 7; 2003 c.526 5; 2008 c.38 4; renumbered 86A.187 in 2009]
- 59.975 [2001 c.952 8; renumbered 86A.188 in 2009]
- 59.977 [2001 c.952 9; 2005 c.97 3; renumbered 86A.189 in 2009]
- 59.980 [Formerly 59.965; renumbered 86A.095 in 2009] PENALTIES
- 59.990 [Amended by 1955 c.180 1; repealed by 1967 c.537 36]
- 59.991 Criminal penalties for ORS 59.005 to 59.451 and 59.710 to 59.830; exceptions.
- 59.992 [1993 c.508 25; 1995 c.622 14; 2005 c.97 2; 2009 c.863 28; renumbered 86A.990 in 2009]
- 59.995 Civil penalties for ORS 59.005 to 59.451 and 59.710 to 59.830; exceptions.
- 59.996 [1993 c.508 26; 2008 c.38 5; renumbered 86A.992 in 2009] _______________
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