Securities Regulation

  1. Law
  2. Oregon Revised Statutes
  3. Business Organizations, Commercial Code
  4. Securities Regulation

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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[Repealed by 1967 c.537 §36]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[Repealed by 1967 c.537 §36]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[Repealed by 1967 c.537 §36]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[1981 c.292 §2; 1985 c.349 §5; repealed by 1987 c.603 §30]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[1981 c.292 §3; 1985 c.349 §6; repealed by 1987 c.603 §30]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[1981 c.292 §4; 1985 c.349 §7; repealed by 1987 c.603 §30]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[1973 c.366 §8; repealed by 1987 c.603 §30]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[Amended by 1953 c.690 §3; 1955 c.201 §1; 1957 c.47 §1; 1963 c.244 §1; 1965 c.241 §2; repealed by 1967 c.537 §36]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[Amended by 1955 c.196 §1; 1957 c.116 §1; 1963 c.244 §2; repealed by 1967 c.537 §36]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[Amended by 1953 c.549 §138; repealed by 1967 c.537 §36]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; insurance; 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 59.840

Section
59.845

Section 59.845

Section
59.850

Section 59.850

Section
59.855

Section 59.855

Section
59.860

Section 59.860

Section
59.865

Section 59.865

Section
59.870

Section 59.870

Section
59.875

Section 59.875

Section
59.880

Section 59.880

Section
59.885

Section 59.885

Section
59.890

Section 59.890

Section
59.895

Section 59.895

Section
59.900

Section 59.900

Section
59.905

Section 59.905

Section
59.910

Section 59.910

Section
59.915

Section 59.915

Section
59.920

Section 59.920

Section
59.925

Section 59.925

Section
59.930

Section 59.930

Section
59.935

Section 59.935

Section
59.940

Section 59.940

Section
59.945

Section 59.945

Section
59.950

Section 59.950

Section
59.955

Section 59.955

Section
59.960

Section 59.960

Section
59.962

Section 59.962

Section
59.965

Section 59.965

Section
59.967

Section 59.967

Section
59.969

Section 59.969

Section
59.970

Section 59.970

Section
59.971

Section 59.971

Section
59.972

Section 59.972

Section
59.973

Section 59.973

Section
59.975

Section 59.975

Section
59.977

Section 59.977

Section
59.980

Section 59.980

Section
59.990

[Amended by 1955 c.180 §1; repealed by 1967 c.537 §36]

Section
59.991

Criminal penalties for ORS 59.005 to 59.505 and 59.710 to 59.830; exceptions.

Section
59.992

Section 59.992

Section
59.995

Civil penalties for ORS 59.005 to 59.505 and 59.710 to 59.830; exceptions.

Section
59.996

Section 59.996