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2017 Oregon Revised Statutes
Volume : 02 - Business Organizations, Commercial Code
Chapter 059 - Securities Regulation
OREGON SECURITIES LAW
- Section 59.005 - Short title.
- Section 59.010 [Repealed by 1967 c.537 §36]
- Section 59.015 - Definitions for Oregon Securities Law.
- Section 59.020 [Repealed by 1967 c.537 §36]
- Section 59.025 - Securities exempt from registration.
- Section 59.030 [Repealed by 1967 c.537 §36]
- Section 59.035 - Transactions exempt from registration.
- Section 59.045 - Authority of director to deny, withdraw or condition exemptions.
- Section 59.047 [1981 c.292 §2; 1985 c.349 §5; repealed by 1987 c.603 §30]
- Section 59.049 - Federal covered securities exempt from registration; notice filings; fees; rules.
- Section 59.050 [1981 c.292 §3; 1985 c.349 §6; repealed by 1987 c.603 §30]
- Section 59.051 - Statutory references to federal law.
- Section 59.052 [1981 c.292 §4; 1985 c.349 §7; repealed by 1987 c.603 §30]
- Section 59.055 - Conditions of offer and sale of securities.
- Section 59.065 - Registration procedures; application; fees; rules.
- Section 59.070 - Amended registration application; when required; fees.
- Section 59.075 - Registration by director; expiration; renewal; fee; rules.
- Section 59.078 [1973 c.366 §8; repealed by 1987 c.603 §30]
- Section 59.085 - Conditions imposed on registration.
- Section 59.095 - Approval of plan to issue securities in exchange for other securities, claims or property.
- Section 59.105 - Denial, suspension or revocation of registration.
- Section 59.110 [Amended by 1953 c.690 §3; 1955 c.201 §1; 1957 c.47 §1; 1963 c.244 §1; 1965 c.241 §2; repealed by 1967 c.537 §36]
- Section 59.115 - Liability in connection with sale or successful solicitation of sale of securities; recovery by purchaser; limitations on proceeding; attorney fees.
- Section 59.120 [Amended by 1955 c.196 §1; 1957 c.116 §1; 1963 c.244 §2; repealed by 1967 c.537 §36]
- Section 59.125 - Effect of notice of offer to repay purchaser; exceptions; registration of transaction.
- Section 59.127 - Liability in connection with purchase or successful solicitation of purchase of securities; recovery by seller; limitations on proceeding; attorney fees.
- Section 59.130 [Amended by 1953 c.549 §138; repealed by 1967 c.537 §36]
- Section 59.131 - Effect of notice of intent to return unlawfully purchased security; contents of notice; registration of transaction.
- Section 59.135 - Fraud and deceit with respect to securities or securities business.
- Section 59.137 - Liability in connection with violation of ORS 59.135; damages; defense; attorney fees; limitations on proceeding.
- Section 59.140 [Repealed by 1967 c.537 §36]
- Section 59.145 - Effect of notice filing, registration or license.
- Section 59.150 [Amended by 1957 c.45 §1; repealed by 1967 c.537 §36]
- Section 59.155 - Director is agent for service of process; manner of service; exceptions.
- Section 59.160 [Repealed by 1967 c.537 §36]
- Section 59.165 - Licensing of broker-dealers, investment advisers and salespersons required; rules.
- Section 59.170 [Amended by 1961 c.352 §1; repealed by 1967 c.537 §36]
- Section 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.
- Section 59.180 [Amended by 1957 c.48 §1; repealed by 1967 c.537 §36]
- Section 59.185 - Expiration of license; rules for renewal; change in personnel.
- Section 59.190 [Repealed by 1967 c.537 §36]
- Section 59.193 [1973 c.366 §9; 1975 c.491 §3; 1985 c.349 §19; repealed by 1987 c.603 §30]
- Section 59.195 - Licensees to keep records; inspection; filing of financial reports.
- Section 59.200 [Amended by 1955 c.198 §1; 1957 c.58 §1; 1959 c.280 §1; repealed by 1967 c.537 §36]
- Section 59.205 - Grounds for denying, suspending, revoking or imposing condition or restriction on license.
- Section 59.210 [Amended by 1955 c.179 §1; repealed by 1963 c.244 §3 (59.211 enacted in lieu of 59.210)]
- Section 59.211 [1963 c.244 §4 (enacted in lieu of 59.210); repealed by 1967 c.537 §36]
- Section 59.215 - Action against applicant or licensee for act or omission of associate; exceptions.
- Section 59.220 [Repealed by 1967 c.537 §36]
- Section 59.225 - Cancellation of license or application; application for withdrawal; effect of suspension or revocation.
- Section 59.230 [Repealed by 1967 c.537 §36]
- Section 59.235 - General supervision over persons dealing in securities.
- Section 59.240 [Repealed by 1955 c.198 §2]
- Section 59.245 - Investigations; publicity with respect to violations; cease and desist order.
- Section 59.250 [Amended by 1963 c.244 §5; repealed by 1967 c.537 §36]
- Section 59.255 - Enjoining violations; fine; appointment of receiver; attorney fees; damages to private parties.
- Section 59.260 [Repealed by 1967 c.537 §36]
- Section 59.265 - Procedure when assets or capital of broker-dealer or investment adviser found impaired; involuntary liquidation.
- Section 59.275 - Burden of proof.
- Section 59.285 - Rules; financial statements.
- Section 59.295 - Notice of orders; hearings on orders.
- Section 59.305 - Judicial review of orders.
- Section 59.310 [Amended by 1957 c.46 §1; 1961 c.352 §2; 1963 c.244 §6; repealed by 1967 c.537 §36]
- Section 59.315 - Oaths and subpoenas in proceedings before director.
- Section 59.320 [Amended by 1961 c.352 §3; repealed by 1967 c.537 §36]
- Section 59.325 - Certified copies of documents; fee; effect of certification.
- Section 59.330 [Amended by 1961 c.280 §6; repealed by 1967 c.537 §36]
- Section 59.331 - Scope of Attorney General powers; consent of director; powers of circuit court; damages, restitution, disgorgement and other penalties.
- Section 59.335 - Application of certain sections.
- Section 59.340 [Amended by 1963 c.244 §7; repealed by 1967 c.537 §36]
- Section 59.345 - When offer to sell or buy is made in this state.
- Section 59.350 - Treatment of certain transactions.
- Section 59.355 - Corporations subject to other laws.
- Section 59.365 - Common-law and statutory rights not limited.
- 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.
- Section 59.375 [1967 c.537 §34; repealed by 1987 c.603 §30]
- Section 59.405 [1971 c.641 §3; 1975 c.491 §4; repealed by 1987 c.603 §30]
- Section 59.410 [Repealed by 1967 c.537 §36]
- Section 59.415 [1971 c.641 §4; 1981 c.897 §11; repealed by 1987 c.603 §30]
- Section 59.420 [Repealed by 1967 c.537 §36]
- Section 59.425 [1971 c.641 §5; repealed by 1987 c.603 §30]
- Section 59.430 [Repealed by 1967 c.537 §36]
- Section 59.435 [1971 c.641 §6; 1981 c.897 §12; repealed by 1987 c.603 §30]
- Section 59.440 [Repealed by 1967 c.537 §36]
- Section 59.445 [1971 c.641 §7; repealed by 1987 c.603 §30]
- Section 59.450 [Repealed by 1967 c.537 §36]
- Section 59.451 - Prohibition against filing false statement by person under investigation or examination.
- Section 59.480 - Definitions for ORS 59.480 to 59.505.
- Section 59.485 - Required reporting by certain securities professionals of suspected financial exploitation.
- Section 59.490 - Notifications to third parties.
- Section 59.495 - Delay of disbursements; notifications.
- Section 59.500 - Limitation on liability.
- Section 59.505 - Provision of records to law enforcement and certain state agencies.
- Section 59.510 [Repealed by 1967 c.537 §36]
- Section 59.520 [Repealed by 1967 c.537 §36]
- Section 59.530 [Repealed by 1967 c.537 §36]
- Section 59.535 - Definitions for ORS 59.535 to 59.585.
- Section 59.540 - Registration in beneficiary form; sole or joint tenancy ownership.
- Section 59.545 - Registration in beneficiary form; applicable law.
- Section 59.550 - Origination of registration in beneficiary form.
- Section 59.555 - Form of registration in beneficiary form.
- Section 59.560 - Effect of registration in beneficiary form.
- Section 59.565 - Ownership on death of owner.
- Section 59.570 - Protection of registering entity.
- Section 59.575 - Nontestamentary transfer on death.
- Section 59.580 - Terms, conditions and forms for registration.
- Section 59.585 - Short title; rules of construction.
- Section 59.610 [Repealed by 1967 c.537 §36]
- Section 59.620 [Repealed by 1967 c.537 §36]
- Section 59.660 [Repealed by 2007 c.661 §28]
- Section 59.670 [Amended by 1981 c.897 §13; 1995 c.618 §35; repealed by 2007 c.661 §28]
- Section 59.680 [Amended by 1971 c.200 §5; 1973 c.794 §14; repealed by 2007 c.661 §28]
- Section 59.690 [Repealed by 2007 c.661 §28]
- Section 59.700 [Repealed by 2007 c.661 §28]
- Section 59.710 - Definitions for ORS 59.710 to 59.830.
- Section 59.720 - Application of ORS 59.710 to 59.830 to real estate contracts and brokers.
- Section 59.730 - Making contract involving securities without intending a bona fide sale or purchase.
- Section 59.740 - Conducting bucket shop or repeatedly making forbidden contracts.
- Section 59.750 - Receipt or communication of prices for purpose of forbidden contract.
- Section 59.760 - Reporting false sale of securities with intent to deceive.
- Section 59.770 - Manipulating market by pretended sales.
- Section 59.780 - Broker’s trading against customer’s order; violation of ORS 59.780 to 59.800 by member of broker’s firm.
- Section 59.790 - Insolvent broker-dealer receiving securities from customer.
- Section 59.800 - Pledge or sale by broker-dealer of customer’s securities.
- Section 59.810 - Delivery to customer of true statement of purchase or sale made by broker.
- Section 59.820 - Actions against corporation for second violation.
- Section 59.830 - Self-incrimination by witness; immunity from prosecution.
- Section 59.840
- Section 59.845
- Section 59.850
- Section 59.855
- Section 59.860
- Section 59.865
- Section 59.870
- Section 59.875
- Section 59.880
- Section 59.885
- Section 59.890
- Section 59.895
- Section 59.900
- Section 59.905
- Section 59.910
- Section 59.915
- Section 59.920
- Section 59.925
- Section 59.930
- Section 59.935
- Section 59.940
- Section 59.945
- Section 59.950
- Section 59.955
- Section 59.960
- Section 59.962
- Section 59.965
- Section 59.967
- Section 59.969
- Section 59.970
- Section 59.971
- Section 59.972
- Section 59.973
- Section 59.975
- Section 59.977
- Section 59.980
- Section 59.990 [Amended by 1955 c.180 §1; repealed by 1967 c.537 §36]
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