OAR 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.

Source: Rule 441-195-0060 — Notice of Complaint, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=441-195-0060.

Last Updated

Jun. 8, 2021

Rule 441-195-0060’s source at or​.us