Or. Admin. Code § 441-205-0060
Current through Register Vol. 64, No. 1, January 1, 2025
The term "Manipulative, Deceptive, or Other Fraudulent Device or Contrivance," as used in these rules, is hereby defined to include any representation made to a customer by a broker-dealer that such security is being offered to such customer "At the Market" or at a price related to the market price, unless such broker-dealer knows or has reasonable grounds to believe that a market for such security exists other than that made, created, or controlled by him, or by any person for whom he is acting or with whom he is associated in such distribution, or by any person controlled by, controlling or under common control with him.
Or. Admin. Code § 441-205-0060
Stat. Auth.: ORS 59
Stats. Implemented: ORS 59.205(2)