OAR 836-080-0175
Exemptions
(1)
Direct response solicitations where there is no recommendation based on information collected from the consumer pursuant to OAR 836-080-0170 (Statutory Authority; Purpose) to 836-080-0190 (Annuity Sales; Disclosure Not a Defense);(2)
Contracts used to fund:(a)
An employee pension or welfare benefit plan that is covered by the federal Employee Retirement and Income Security Act as amended;(b)
A plan described by sections 401(a), 401(k), 403(b), 408(k) or 408(p) of the Internal Revenue Code, as amended, if established or maintained by an employer;(c)
A government or church plan defined in section 414 of the Internal Revenue Code, a government or church welfare benefit plan, or a deferred compensation plan of a state or local government or tax exempt organization under section 457 of the Internal Revenue Code;(d)
A nonqualified deferred compensation arrangement established or maintained by an employer or plan sponsor;(e)
Settlements of or assumptions of liabilities associated with personal injury litigation or any dispute or claim resolution process; or(f)
Formal prepaid funeral contracts.
Source:
Rule 836-080-0175 — Exemptions, https://secure.sos.state.or.us/oard/view.action?ruleNumber=836-080-0175
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