OAR 441-205-0165
Investment Adviser Brochure

It shall constitute a “Fraudulent, Deceptive, or Manipulative Act or Practice” as used in these rules for any investment adviser to enter into or offer to enter into an investment advisory contract, or in any way perform an investment advisory contract, if the investment adviser:

(1)

Fails to provide the customer with a written disclosure statement which may be either a copy of Part II of Form ADV or a written document containing at least the information required by Part II of Form ADV:

(a)

At least 48 hours prior to entering into any written or oral investment advisory contract with a customer; or

(b)

At the time of entering into any advisory contract, if the customer has a right to terminate the contract without penalty within five business days after entering the contract.

(2)

Fails to offer an existing customer a copy of the written disclosure statement, without charge, at least annually.

Source: Rule 441-205-0165 — Investment Adviser Brochure, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=441-205-0165.

Last Updated

Jun. 8, 2021

Rule 441-205-0165’s source at or​.us