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Division of Finance and Corporate Securities (DFCS)

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Securities

Oregon Revised Statutes Chapter 59

The securities section protects investors from fraud by regulating the sale of securities and franchises; registering securities offerings made in Oregon; and licensing businesses and person who sell investment securities and investment advisors.

In addition, the securities section also educates investors to help them identify and avoid fraudulent investment schemes. For more information on our investor information outreach services, visit our Investor Information site.

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Information for consumers

Thinking of investing in Exchange-Traded Funds (ETFs)?
Be sure you understand the risks. Check out this investor alert from the North American Securities Administrators Association.

Before you invest...
The industry that sells investment is large and varied. It’s important to make sure the firm and the representative are properly licensed. Click here to read more...

Protect your money
Investing your money is risky enough without worrying about investment scams and con artists. Visit our new website protectyourmoneyoregon.org to learn to learn more.

Gifting clubs and pyramid schemes
Unlawful pyramid schemes operating under the guise of so-called "gifting clubs" are elaborate scams designed to make money for a few at the expense of many. Click here to read more...

File a complaint
If you have a complaint against a company or individual in the securities industry, please use our online complaint form. The form may also be printed and mailed or faxed to us. The form is available in both English and Spanish versions.
 

 

Information for industry professionals

Latest news

Important changes for investment advisers
The Division of Finance and Corporate Securities welcomes new Investment Advisers transitioning from the SEC as a result of the Dodd–Frank legislation. We are taking steps to ensure a seamless, comprehensive and effective switching process. read more...