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The Oregon Administrative Rules contain OARs filed through November 15, 2014

 

Department of Consumer and Business Services

Division of Finance and Corporate Securities

Division number quick links Delta 001-025 | 035-065 | 075-0175 | 195-205 | 225-500 | 505-646 | 710 | 720 | 730 | 735 | 740-755 | 810 | 850-860 | 865-870 | 875-910 | 930

DIVISION 1

PROCEDURAL RULES

441-001-0005 Model Rules of Procedure

441-001-0010 Notice of Rulemaking

441-001-0020 Mailing List

441-001-0030 Contested Case Proceedings

441-001-0040 Requests for Opinions and Interpretations

441-001-0050 Refund of Monies Paid

DIVISION 5

APPLICATION FOR CERTIFICATE OF COMPLIANCE

441-005-0010 Application For Certificate Of Compliance

DIVISION 11

GENERAL PROVISIONS

441-011-0010 Definitions

441-011-0020 Waiver by the Director

441-011-0040 Financial Statements

DIVISION 25

SECURITIES EXEMPT FROM REGISTRATION

441-025-0005 Self-Executing Registration Exemptions

441-025-0010 Exchange Exemption

441-025-0020 Manual Exemption

441-025-0030 Employee Benefit Plans

441-025-0040 Charitable Securities

441-025-0050 Additional Exempt Employee Benefit Plans

441-025-0060 Memberships in a Non-profit Cooperative

Renewable Energy Cooperative Corporations

441-025-0120 Definitions

441-025-0121 General Requirements for Renewable Energy Cooperative Corporations

441-025-0122 Requirements for Reliance on Registration Exemption for Renewable Energy Cooperative Corporations

441-025-0123 Disclosures Required Related to the Sale of Membership Shares in Renewable Energy Cooperative Corporations

441-025-0124 Disclosures Related to Renewable Energy Cooperative Corporation Projects

441-025-0125 Required Filings and Records

441-025-0126 Utilization of Disclosures and Disclaimer

DIVISION 35

SECURITIES TRANSACTIONS EXEMPT FROM REGISTRATION

441-035-0005 Self-Executing Transaction Exemptions

441-035-0010 Accredited Investor

441-035-0020 Transactions Ineligible Under ORS 59.035(7) Exemption

441-035-0021 Disclosure Requirements for Real Estate Paper Transactions Exempt Under ORS 59.035(7)

441-035-0030 Manual Exemption

441-035-0040 NASDAQ Exemption

441-035-0045 Solicitation of Interest For Offering of Securities Pursuant to SEC Regulation A or OAR 441-065-0225

441-035-0050 Isolated Issuer Transaction

441-035-0060 Offers of Securities on the Internet

DIVISION 45

DENIAL, WITHDRAWAL OR CONDITIONING OF EXEMPTIONS

441-045-0010 Blank Check Company Securities Denial of Transactional Exemptions

DIVISION 49

NOTICE FILINGS FOR FEDERAL COVERED SECURITIES

441-049-1001 Fees for Federal Covered Securities Notice Filings

441-049-1011 Scope and Definitions

441-049-1021 General Provisions Applicable to Notice Filing Rules

441-049-1031 Investment Company Notice Filing

441-049-1041 Offering to Qualified Purchaser, Federally Exempt Securities and Federally Exempt Transactions

441-049-1051 Rule 506 Offerings

DIVISION 65

REGISTRATION OF SECURITIES

441-065-0001 Fees for Registration of Securities

441-065-0010 Types of Registration

441-065-0015 When Registration Application Deemed Abandoned

441-065-0020 Registration by Qualification

441-065-0030 Registration by Filing

441-065-0035 Registration by Multijurisdictional Coordination

441-065-0040 Registration for Resale, or Dealing and Trading

441-065-0050 Condominium Securities

Registration of Securities Offered in Connection with or Structured
as a Regulation "D" or Similar Non-Public Offering

441-065-0060 Creation of Classifications

441-065-0070 Definitions

441-065-0080 General Requirements and Limitations

441-065-0090 Integration

441-065-0100 Information Requirements

441-065-0110 Public Advertising and General Solicitation

441-065-0130 Disqualification

441-065-0140 Limitation on Sales Expenses

441-065-0150 Escrow of Proceeds

441-065-0160 Rescission of Improvident Sales Including Oversales

441-065-0170 Registration Procedures for "Regulation D" and Similar Type Offerings

441-065-0180 Licensing of Salespersons

441-065-0190 Reports

441-065-0200 Records

441-065-0210 Waiver of Provisions

441-065-0220 Small Offering Registration Procedure for Offerings Not Exceeding $500,000 (Including Under SEC Rule 504)

441-065-0225 Small Corporate Offering Registration Procedure for Offerings not Exceeding $1,000,000 (Under SEC Rule 504)

441-065-0230 Limited Offering Registration Procedure for Offerings Not Exceeding $5,000,000 (Including Under SEC Rule 505)

Registration of Securities Involving Real Estate Paper

441-065-0250 Definitions

441-065-0260 Optional Registration Procedures for Securities Involving Real Estate Paper

Registration for Certain Compensatory Benefit Plans and Contracts

441-065-0270 Compensatory Benefit Plans and Contracts

DIVISION 75

RENEWAL OF SECURITIES REGISTRATIONS

441-075-0010 General Renewal Procedure

441-075-0020 Specific Renewal Procedures

DIVISION 85

CONDITIONS OF REGISTRATION

441-085-0010 Selling Expenses

441-085-0020 Options to Underwriters

DIVISION 95

FAIRNESS HEARINGS

441-095-0030 Fairness Hearing Procedures

DIVISION 135

FRAUD AND DECEIT WITH RESPECT TO SECURITIES OR SECURITIES BUSINESS

441-135-0020 Use of Certification or Professional Designation

DIVISION 175

LICENSING OF BROKER-DEALERS, INVESTMENT ADVISERS, AND SALESPERSONS

General Provisions

441-175-0002 Fees for Licensing or Notice Filing of Firms and Individuals

441-175-0010 Definitions

441-175-0015 When Licensing Application Deemed Abandoned

441-175-0020 Exclusion from Definition of "Broker-Dealer"

441-175-0030 Exclusion from Definition of "Investment Adviser"

441-175-0040 Exclusion from Definition of "Salesperson"

441-175-0041 Exclusion from Definition of "Investment Adviser Representative"

441-175-0046 Federal Covered Investment Adviser Representative

441-175-0050 Rules of Fair Practice for Real Estate Licensees

441-175-0055 Rules of Fair Practice for Mortgage Banker and Mortgage Broker Licensees

441-175-0060 Licensing Rule Implementing, 97 OR Laws Ch. 772 and the National Markets Improvement Act of 1996

441-175-0070 General Licensing Rules for Broker-Dealers, Investment Advisers and Salespersons

441-175-0080 Applications for Licensing of Broker-Dealers

441-175-0085 Limited Licensing of Canadian Broker-Dealers and Salespersons

441-175-0100 Applications for Licensing of Investment Advisers

441-175-0105 Material Changes, Amendments and Notice of Civil and Criminal Actions

441-175-0110 Surety Bond; Letter of Credit

441-175-0120 Licensing of Salespersons or Representatives to Non-NASD Broker-Dealers, State or federal Covered Investment Advisers, Issuers and Owners of Securities

441-175-0130 Licensing of Salespersons to NASD Broker-Dealers

441-175-0140 Disqualification from Automatic Licensing

441-175-0150 Termination or Cancellation of Salesperson or Investment Adviser Representative License

441-175-0160 Renewal of NASD Broker-Dealer and Salesperson Licenses

441-175-0165 Renewal of the Licenses of Non-NASD Broker-Dealers or State Investment Advisers, and Their Salespersons or Investment Adviser Representatives

441-175-0171 Use of Trade Name or Assumed Business Name

441-175-0175 Internet Communications

DIVISION 195

RECORDS AND REPORTS

441-195-0010 Customer and Account Records by Broker-Dealers

441-195-0020 Business Records by Broker-Dealers

441-195-0030 Records to be Preserved by Certain Broker-Dealers

441-195-0040 Books and Records to be Maintained by Investment Advisers

441-195-0050 Reports by Broker-Dealers and Investment Advisers

441-195-0060 Notice of Complaint

441-195-0070 Discretionary Authority

DIVISION 205

DENIAL, SUSPENSION, OR REVOCATION OF LICENSE

441-205-0010 Dishonest, Fraudulent, Unfair and Unethical Practices

441-205-0020 General Definitions

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

DIVISION 225

CANCELLATION, WITHDRAWAL, OR SUSPENSION OF LICENSE

441-225-0010 Cancellation, Withdrawal and Suspension of the License for Broker-Dealers, Mortgage Brokers, Investment Advisers, and Salespersons

441-225-0020 Termination of Order Authorizing Use of Assumed Business Name or Trade Name

441-225-0030 License Conditions or Restrictions

DIVISION 300

COMMODITIES

441-300-0010 Depository Receipts

441-300-0020 Authorized Depositories

DIVISION 325

FRANCHISES

441-325-0010 Definitions

441-325-0020 Pre-Sale Disclosure Requirements

441-325-0030 Exemptions to Disclosure Requirements

441-325-0040 Offer or Sale of Franchise

441-325-0050 Relationship to Securities Law

DIVISION 446

DEALER LICENSING

441-446-0100 Purpose and Scope

441-446-0110 Definitions

441-446-0200 Supplemental or Corrected Licenses

441-446-0203 Exemptions from Mortgage Loan Originator Licensing

441-446-0210 Dealer Requirements

441-446-0300 Violations

DIVISION 500

BANKING

Definitions

441-500-0000 Bank Act Definitions Adopted

441-500-0020 Fees for Banks, Trust Companies, Savings Banks, Extranational Institutions, Savings Associations and Call for Reports

441-500-0030 Charges for Special Examinations and Special Attention for Banks, Trust companis, Savings Banks, Extrantional

DIVISION 505

BANKING SECTION (IN GENERAL)

441-505-1110 References to Federal Statutes and Regulations

441-505-1120 Report of Oregon Deposits

441-505-1130 Call Reports

441-505-1150 Report of Trust Assets

441-505-1160 Trust Company Financial Statements

441-505-2000 Regular Meetings of Banking Institution Board of Directors

441-505-2020 Exchange of Real Property for Stock

441-505-3010 Insurance Activity Report

441-505-3020 Property Acquired for or Used for Place of Business; Disposition if Not Used

441-505-3030 Appraisal Required

441-505-3040 Real Estate Sales Contracts

441-505-3046 Contents of Foreclosure Notices

441-505-3050 Guidelines for Exceeding Restrictions on Ownership of Real and Personal Property Used in Business

441-505-3070 Combining Loans to Separate Borrowers

441-505-3075 Existence of a Direct Benefit

441-505-3080 Existence of a Common Enterprise

441-505-3085 Lending Limit Rules for Loans to Partnerships

441-505-3090 Interest Rate Swap Transactions

441-505-4010 Exemption for Banking Institutions

441-505-4020 Exemption for Out of State Trust Company

441-505-4030  Trust Company Exemption; Court Appointed Fiduciaries

441-505-6010 Deposits Required by Extranational Institutions

DIVISION 646

IDENTITY THEFT

441-646-0010 Definitions

441-646-0020 Expenses of Providing Notification

441-646-0030 Use of Social Security Number

441-646-0040 Safeguarding of Personal Information

DIVISION 710

CREDIT UNIONS (IN GENERAL)

441-710-0000 Definitions

Membership

441-710-0020 Membership in General

441-710-0035 Community Charter Applications

441-710-0037 Procedures for Amending Bylaws on Community Charter Field of Membership

441-710-0070 Procedures for Amending Bylaws on Field of Membership

441-710-0071 Application to Serve Former Occupational Groups and Associational Members

441-710-0075 Underserved Areas

441-710-0085 Guidelines for a Low-Income Designated Credit Union

Powers

441-710-0240 Limitations on Ownership of Fixed Assets

441-710-0260 Investment in Fixed Assets

441-710-0270 Investment in Premises

441-710-0325 Housing Agency Low Income Rental Housing Fund Client Trust Accounts

Reserves

441-710-0400 Loans to Officials

Mergers

441-710-0450 Mergers of Community Charters

441-710-0460 Notice to Members of Merger Plan

Supervision and Regulation

441-710-0500 Fees and Charges Credit Unions Pay the Director

441-710-0505 Amendment and Late Charge Fees

441-710-0510 Annual Audit; Qualified Persons to Perform; Content; Time for Filing, Reporting Action Taken

441-710-0515 Required "Additional Reports" Defined

441-710-0520 Reports and Filings When Credit Union Invests in CUSO

441-710-0525 Duty to Report Changes in Accounting Systems, Methods or Procedures

441-710-0530 Accrual Accounts, When Required

441-710-0535 Back-Up Records; Off-Site Storage Required

441-710-0540 Contents of Foreclosure Notices

DIVISION 720

CREDIT UNIONS  

Corporate Central Credit Union

441-720-0100 Scope and Application

441-720-0110 Definitions

441-720-0120 Risk Weights and Risk Categories

Corporate Reserves

441-720-0130 Minimum Capital Ratio

441-720-0140 Procedures, Risk-Weight Ratios and Computations

441-720-0150 Required Reserve Transfers

441-720-0160 Fidelity Bond Coverage for Corporate Credit Union

Federal Tie-In Rules

441-720-0200 Purpose, Authority for Federal Tie-In Rules

441-720-0210 Adoption of Federal Regulations Concerning Purchase, Sale and Pledge of Eligible Obligations

Investments

441-720-0215 Procedures Required Prior to Exercise of Certain Investment Powers

441-720-0220 Investments in Investment and Borrowing Repurchase Agreements, Bankers Acceptances, Participation in Federal Funds Authorized; Adoption of Federal Statutes, Regulations on Such Investments

441-720-0225 Adoption of Federal Statutes, Rulings, Policy Regarding Mortgage Assumptions

441-720-0230 Adoption of Federal Statutes and Regulations Concerning Loan Participations

Member Business Loans

441-720-0300 Definitions

441-720-0305 Member Business Loan

441-720-0310 Implementation of Member Business Loan Program

441-720-0315 Member Business Loan Policies and Procedures

441-720-0320 Collateral and Security Requirements

441-720-0325 Recordkeeping Requirements

441-720-0330 Aggregate Loans to a Member or Associated Members

441-720-0335 Calculation of the Aggregate 15% Limit

441-720-0340 Aggregate Member Business Loan Limit for a Credit Union

441-720-0345 Exceptions to the Aggregate Member Business Loan Limit for a Credit Union

441-720-0350 Exception Procedure

441-720-0355 Construction and Development Lending

441-720-0360 Classification of Member Business Loans to Reserve for Potential Losses

441-720-0365 Minimum Reserves for Potential Loan Losses

441-720-0370 Prohibited Member Business Loans

441-720-0375 Available Waivers for Specific Loan Types

441-720-0380 Waiver Procedure

DIVISION 730

CONSUMER FINANCE

441-730-0000 Statutory Authority; Purpose

441-730-0010 Definitions

441-730-0015 Licensee Lending Characteristics and Practices

441-730-0025 License Applications

441-730-0026 Corporate Surety Bond for Consumer Finance Licensees Employing a Mortgage Loan Originator

441-730-0027 State Criminal Records Check

Notes, Mortgages, and Collateral

441-730-0030 Fees, Charges Licensees Pay the Director

441-730-0050 Notes and Agreements Must Comply with ORS Chapter 725

441-730-0060 Loans Not to Be Payable on Demand; Exception

441-730-0070 Advertising Regulations

441-730-0080 Qualifications of Person in Charge of Licensed Office

441-730-0100 Licensee Officers and Directors

441-730-0110 Accounting Records of Licensee

441-730-0120 Account Record to Be Maintained for Each Loan

441-730-0125 Residential Borrower Files for Mortgage Loans

441-730-0130 Index of Obligors to Be Maintained

441-730-0140 Records and Files Required to Be Kept at Servicing Office; Copies of Loans Transferred; Centralized Accounting Office Exception

Computation of Interest and Charges

441-730-0150 Consolidating Sales Financing into Direct Loans

441-730-0160 Daily-Interest Computation

441-730-0170 Precomputed Interest

441-730-0180 Deferred Payment on Precomputed Loan

441-730-0200 Action on Precomputed Loan; Rebate Required

441-730-0205 Limitation on Charging a Prepayment Penalty by Consumer Finance Licensees

441-730-0210 Recomputation of Interest on Delinquent Precomputed Loan

441-730-0220 Insurance Premium Charges; Refunds

441-730-0230 Insurance Benefits Paid to Licensee

Licensee's Duties to Borrower

441-730-0240 Statement of Loan

441-730-0246 Contents of Foreclosure Notices

441-730-0250 Receipt to Be Furnished to Borrower Upon Request

441-730-0255 Payoff Information to be Furnished to Borrower Upon Request

441-730-0260 Advances to Perform Covenants

441-730-0280 Prohibited Provisions in Loan Contract Provisions

441-730-0320 Licensee Reporting

DIVISION 735

PAYDAY AND TITLE LENDING

441-735-0000  Statutory Authority; Purpose

441-735-0010  Definitions

441-735-0015  Title Loan Licensee Lending Practices

441-735-0025  License Applications

441-735-0030  Fees, Charges Licensees Pay the Director

441-735-0050  Notes and Agreements

441-735-0060  Loans Not to Be Payable on Demand; Exception

441-735-0070  Advertising Regulations

441-735-0080  Qualifications of Person in Charge of Licensed Office

441-735-0100  Licensee Officers and Directors

441-735-0110  Accounting Records of Licensee

441-735-0120  Account Record to Be Maintained for Each Loan

441-735-0130  Index of Obligors to Be Maintained

441-735-0140  Records and Files Required to Be Kept at Servicing Office; Copies of Loans Transferred; Centralized Accounting Office Exception

441-735-0160  Daily-Interest Computation

441-735-0165  Unfair or Deceptive Practices

441-735-0205 Limitation on Charging a Prepayment Penalty

Licensee's Duties to Borrower

441-735-0240  Statement of Loan

441-735-0250  Receipt to Be Furnished to Borrower Upon Request

441-735-0255  Payoff Information to be Furnished to Borrower Upon Request

441-735-0271  Requirements for Payday Loans and Title Loans

441-735-0272  Requirements for Licensees

441-735-0275  Conditions Applicable to Loans Made by Title Loan Licensees

441-735-0280 Prohibited Provisions in Loan Contract Provisions

441-735-0310 Refund of Unearned Interest and Charges

441-735-0320 Licensee Reporting

DIVISION 740

PAWNBROKERS

441-740-0000 Definitions

441-740-0010 Fees Payable by Pawnbrokers to the Director

441-740-0015 Fees Charged by Pawnbrokers to Pledgors

441-740-0016 Daily-Interest Computation

441-740-0020 Pawnbrokers Required to Use Reasonable Care in Caring for Pledges; “Reasonable Care” Defined

441-740-0025 Description of Pledged Items

441-740-0035 Other Information to be Submitted with Annual Report

441-740-0040 Loan Agreement

441-740-0045 Advertising

441-740-0055 Surrender of License

DIVISION 745

MONEY TRANSMITTER PROGRAM

General Provisions

441-745-0000 Definitions

441-745-0010 Waiver by Director

Licensing of Money Transmitters

441-745-0300 Application Procedure

441-745-0310 Renewal of License

441-745-0330 Security Device

441-745-0340 Fees, Charges Money Transmitters Pay to the Director

DIVISION 755

CHECK-CASHER RULES

General Provisions

441-755-0000 Definitions

441-755-0010 Fees Payable to the Director

Licensing

441-755-0100 Initial Application

441-755-0110 Licensing Exemptions

441-755-0120 When Initial Application Deemed Abandoned

441-755-0130 Renewal of License

441-755-0140 Change of Licensed Location

441-755-0150 Material Changes

441-755-0160 Assignment or Transfer of License Prohibited

441-755-0170 Termination of License

Business Activities

441-755-0200 Posting of Information

441-755-0210 Unfair or Deceptive Practices

441-755-0220 Responsibility for Actions at Licensed Locations

Books and Records

441-755-0300 Required Books and Records

441-755-0310 Annual Report

DIVISION 810

GENERAL

441-810-0000 Definitions

Registration

441-810-0020 Duration of Registration

441-810-0030 Renewal

441-810-0040 Application

441-810-0050 Update Filings

441-810-0060 Assumed Business Name

Collection Activities

441-810-0070 Return of Accounts

441-810-0080 Office Closure

441-810-0090 Joint Trust Accounts

441-810-0100 Audits

441-810-0110 Audit Charges Collection Agencies Pay to the Director

441-810-0120 Claims

441-810-0130 Response to Claims

441-810-0140 Civil Penalties

441-810-0150 Fees

441-810-0200 Applicability of Rules, Definition

441-810-0210 Acquisition of Location Information

441-810-0220 Communication In Connection With Debt Collection

441-810-0230 Harassment or Abuse

441-810-0240 False or Misleading Representations

441-810-0250 Unfair Practices

441-810-0260 Compliance with Fair Debt Collection Practices Act

DIVISION 850

MORTGAGE LENDING GENERAL PROVISIONS

441-850-0005 Definitions

441-850-0015 Waiver by Director

441-850-0035 Records and Reports Retention Period

441-850-0042 Contents of Foreclosure Notices

441-850-0050 Process to Challenge Information Entered into the National Mortgage Licensing System and Registry

DIVISION 860

LICENSING OF MORTGAGE BANKERS AND MORTGAGE BROKERS

441-860-0020 Application Requirements

441-860-0021 Biographical Information Required for Mortgage Banker or Mortgage Broker License Application

441-860-0024 Deficiencies in Mortgage Banker or Mortgage Broker License Application

441-860-0025 Rules for Use of Assumed Business Names

441-860-0030 Branch Office Licensing

441-860-0040 Supervision of Branch Offices and Loan Originators

441-860-0045 Oregon Criminal Records Check

441-860-0050 Renewal of Mortgage Banker and Mortgage Broker License

441-860-0060 Equivalent and Related Experience

441-860-0070 Disclosure of Significant Developments

441-860-0080 Failure to Continually Satisfy Experience Requirement

441-860-0085 Corporate Surety Bond for Mortgage Bankers or Mortgage Brokers Acting as or Employing a Mortgage Loan Originator

441-860-0090 Corporate Surety Bond or Irrevocable Letter of Credit for Mortgage Bankers Not Employing Mortgage Loan Originators

441-860-0101 Fees Payable to the Director

441-860-0110 Audit Charges Mortgage Bankers or Mortgage Brokers Pay to the Director

441-860-0130 Private Money Loans

DIVISION 865

RECORDS AND REPORTS

441-865-0010 General Provisions

441-865-0020 Financial Records

441-865-0025 Residential Mortgage Lending Reports

441-865-0030 Advertising

441-865-0040 Borrower and Investor Complaints

441-865-0050 Personnel Records

Additional Borrower Files

441-865-0060 Residential Borrower Files

441-865-0080 Investor Files

Client Funds

441-865-0090 Trust Account and Escrow Depository

DIVISION 870

DISHONEST, FRAUDULENT, UNFAIR AND UNETHICAL PRACTICES

General Provisions

441-870-0010 Dishonest, Fraudulent, Unfair and Unethical Practices

441-870-0020 General Definition

441-870-0030 Borrower Transactions

441-870-0040 Legend Requirements

441-870-0050 Investor Transactions

441-870-0060 Delivery of Additional Documentation

441-870-0070 Servicing Transactions

441-870-0080 Advertising

441-870-0081 Use of Certification or Professional Designations by Mortgage Banker, Mortgage Broker, or Mortgage Loan Originator

DIVISION 875

CUSTODY AND POSSESSION OF CLIENT FUNDS

441-875-0020 Branch Office Trust Accounts

441-875-0030 Manner of Deposit

441-875-0040 Financial Practices; Manner of Disbursement

441-875-0075 Filing False Reports of Condition

DIVISION 880

LICENSING OF MORTGAGE LOAN ORIGINATORS

441-880-0005 Application of ORS 86A.200 to 86A.239 to Employees of Agencies of the United States, State Agencies, Local Governments and Housing Authorities

441-880-0006 Application of ORS 86A.200 to 86A.239 to Employees of Bona Fide Nonprofit Organizations

441-880-0007 Process for Determining if Nonprofit Organization is Bona Fide

441-880-0008 Criteria for Determining if Nonprofit Organization is Bona Fide

441-880-0200 Application Process; Correcting Deficiencies in Application; Abandonment

441-880-0205 Interim Licenses

441-880-0210 Financial Responsibility Criteria

441-880-0215 Oregon Examination For Mortgage Loan Originators

441-880-0300 License Renewal; Reinstatement Process

441-880-0310 Mortgage Loan Originator Continuing Education Requirements; Curing Deficiencies; License Sanctions for Failure to Maintain Continuing Education

441-880-0315 Notice of Employment Status by Employer of Mortgage Loan Originator; Prohibition on Origination Activities Before Sponsorship

441-880-0320 Notice of Significant Events by Mortgage Loan Originator

441-880-0400 Fees Payable to the Director

DIVISION 885

CANCELLATION OF LICENSE

441-885-0010 Cancellation of Mortgage Banker Or Mortgage Broker License for Failure to Maintain Corporate Surety Bond or Irrevocable Letter of Credit

DIVISION 910

DEBT MANAGEMENT

441-910-0000 Definitions

Registration

441-910-0005 Exemptions from Debt Management Service Provider Registration

441-910-0010 Registration Requirements

441-910-0030 Renewal

441-910-0050 Update Filings

441-910-0055 Fees Payable to the Director

Business Activities

441-910-0080 Joint Trust Accounts

441-910-0091 Initial Counseling Fees

441-910-0094 Contracts for Debt Management Services

441-910-0096 Business Activities

441-910-0099 Fee Schedules

441-910-0135 Loan Modifications

441-910-0145 Budget Analysis

441-910-0150 Disclosure of Pass-Through Charges by Debt Management Service Providers

441-910-0151 Advertisements

Records; Reports

441-910-0200 Records Retained by Registrants

DIVISION 930

PREARRANGEMENT AND PRECONSTRUCTION PLANS

441-930-0010 Definitions

Master Trustees

441-930-0030 Applications for Registration of Master Trustees

441-930-0035 Renewal Procedure

441-930-0045 Material Changes, Notice of Civil and Criminal Actions

441-930-0065 When Application Deemed Abandoned

441-930-0068 Annual Report

441-930-0070 Examination of Master Trustee

441-930-0080 Master Trustee Rules of Conduct

441-930-0085 Calculation of Trust Fund Deposit Earnings

Certified Providers

441-930-0210 Application for Certification

441-930-0220 Renewal Procedure

441-930-0230 Material Changes, Notice of Civil and Criminal Actions

441-930-0240 When Application Deemed Abandoned

441-930-0250 Annual Report

441-930-0255 Reporting by Limited Operations Certified Provider

441-930-0260 Examination of Certified Providers

441-930-0267 Irrevocable Prearrangement Sales Contracts

Certified Providers and Registered Master Trustees

441-930-0270 Fees Assessed to Certified Providers and Registered Master Trustees

441-930-0290 Unprofessional Conduct

441-930-0300 Notice of Complaint

441-930-0310 Revocation, Suspension and Denial of Certificate or Registration

441-930-0320 Notice Requirements

441-930-0330 Records to be Retained

Funeral and Cemetery Consumer Protection Trust Fund

441-930-0350 Funeral and Cemetery Consumer Protection Trust Fund

Endowment Care Cemeteries

441-930-0360 Surety Bond Requirements for Endowment Care Cemeteries


Notes
1.) The OAR Compilation is updated on the first of each month to include all rule actions filed with the Secretary of State’s Office by the 15th of the previous month, or by the previous workday if the 15th is on a weekend or holiday.

2.) The official copy of an Oregon Administrative Rule is contained in the Administrative Order filed at the Archives Division, 800 Summer St. NE, Salem, Oregon 97310. Any discrepancies with the published version are satisfied in favor of the Administrative Order. The Oregon Administrative Rules and the Oregon Bulletin are copyrighted by the Oregon Secretary of State. Terms and Conditions of Use

Oregon Secretary of State • 136 State Capitol • Salem, OR 97310-0722

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