Disclosure of Capacity
Source:
Rule 441-205-0190 — Disclosure of Capacity, https://secure.sos.state.or.us/oard/view.action?ruleNumber=441-205-0190.
441–205–0010
Dishonest, Fraudulent, Unfair and Unethical Practices 441–205–0020
General Definition 441–205–0030
Confirmation of Transaction 441–205–0040
Disclosure of Control 441–205–0050
Disclosure of Interest in Distributions 441–205–0060
Sales at the Market 441–205–0070
Use of Pro Forma Balance Sheets 441–205–0080
Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions 441–205–0090
Identification of Quotations 441–205–0100
Discretionary Accounts 441–205–0110
Hypothecation of Customer’s Securities 441–205–0120
Transmission or Maintenance of Payments Received in Connection With Underwritings 441–205–0130
Fair Dealing with Customers 441–205–0135
Sales of Securities or Investment Advisory Services at Financial Institutions or Trust Companies 441–205–0140
Suitability of Recommendations 441–205–0145
Unethical Business Practices of State Investment Advisers and Their Investment Adviser Representatives 441–205–0165
Investment Adviser Brochure 441–205–0170
Compensation of Investment Advisers 441–205–0180
Custody or Possession of Funds or Securities of Clients by Investment Advisers 441–205–0190
Disclosure of Capacity 441–205–0200
Advertisements by Investment Advisers 441–205–0210
Supervision of Associated Persons
Dishonest, Fraudulent, Unfair and Unethical Practices 441–205–0020
General Definition 441–205–0030
Confirmation of Transaction 441–205–0040
Disclosure of Control 441–205–0050
Disclosure of Interest in Distributions 441–205–0060
Sales at the Market 441–205–0070
Use of Pro Forma Balance Sheets 441–205–0080
Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions 441–205–0090
Identification of Quotations 441–205–0100
Discretionary Accounts 441–205–0110
Hypothecation of Customer’s Securities 441–205–0120
Transmission or Maintenance of Payments Received in Connection With Underwritings 441–205–0130
Fair Dealing with Customers 441–205–0135
Sales of Securities or Investment Advisory Services at Financial Institutions or Trust Companies 441–205–0140
Suitability of Recommendations 441–205–0145
Unethical Business Practices of State Investment Advisers and Their Investment Adviser Representatives 441–205–0165
Investment Adviser Brochure 441–205–0170
Compensation of Investment Advisers 441–205–0180
Custody or Possession of Funds or Securities of Clients by Investment Advisers 441–205–0190
Disclosure of Capacity 441–205–0200
Advertisements by Investment Advisers 441–205–0210
Supervision of Associated Persons