Or. Admin. Code § 441-195-0060

Current through Register Vol. 63, No. 12, December 1, 2024

Section 441-195-0060 - Notice of Complaint

(1) Each broker-dealer and each investment adviser who has filed a complaint against any of its partners, officers, directors, or associated persons registered in Oregon, with any law enforcement agency, any other regulatory agency having jurisdiction over the securities industry, or with any bonding company regarding any loss arising from alleged acts of such person, shall send a copy of such complaint to the Director within ten days following its filing with such other agency or bonding company.

(2) A copy of any finding, censure, fine, suspension, or expulsion made as a result of any such complaint shall be filed with the Director within ten days following such action.

CC 12, f. 7-12-73, ef. 9-1-73, Renumbered from 815-030-0195.2-1, 7-1-76 and 815-030-0105

Stat. Auth.: ORS 59

Stats. Implemented: ORS 59.195, ORS 59.205 & ORS 59.235