Or. Admin. R. 150-314-0142 - Brokers’ Information Returns
150-314-0142
Brokers’ Information Returns
When required by the Department (but not otherwise), any person or organization that acted at any time as a broker or agent in stock, bond or commodity transactions (including a bank that cleared orders for depositors’ or custodians’ accounts) shall make a separate return of information for each customer, showing the total sales and the total purchases. In lieu of information with respect to each of the brokers’ customers, the Department may require returns of information with respect only to a specified customer or customers.
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