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The Division of Financial Regulation (DFR) of the Department of Consumer and Business Services (DCBS) is preparing to begin rulemaking to: adopt Continuing Education (CE) requirements; update the special designations rule to address religious advisers; harmonize the supervision and books and records provisions for broker-dealers with those of investment advisers; update references to securities and transactions exempted under the manual exemptions; update references to federal exemptions; clarify how testimonials should be treated; clarify how aggregate amount for stock options should be calculated as reflected in the Rule 701 form; simplify the fairness hearing process; clarify terms and procedures for interim financials; update suitability requirements to correspond to FINRA’s.
All meetings held via Microsoft Teams meetings.
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Lauren Winters Senior Policy AdvisoryLauren.E.WINTERS@dcbs.oregon.gov Phone: 503-979-3788
Senior Policy Advisor
Karen Winkel Rules Coordinator
Karen.J.WINKEL@dcbs.oregon.gov Phone: 503-947-7694
March 21, 2023
October 24, 2022
Cody BerneStoll Berne
Craig Smithvon Borstel & Associates
Dara WestlakeGuerilla Development
Darlene PasiecznyPublic Investors Advocate Bar Association
Emil AliMcCabe & Ali
Kevin ChristiansonOregon Bankers Association
Linda NavarroOregon Bankers Association
Marin GibsonSecurities Industry and Financial Markets Association
Maureen ThompsonCertified Financial Planner Board of Standards
Mike EslerEsler, Stephens & Buckley
Rob FrankelInvestments & Wealth Institute
Scott MullinsMullins Law Office
Todd SakodaThe Consortium
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