Updated: |
7/6/2007 |
Description: |
Securities Brokers/Dealers buy and sell stocks and bonds for individuals or organizations applying knowledge of securities, market conditions, government regulations, and financial circumstances of customers.
Similar Keywords: mutual funds, stockbrokers, hedge |
Statutes, Rules, Ordinances: |
ORS 059
OAR 441-175
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Duration: |
Annual |
Fees - application, exam, etc.: |
Original license: $250. Annual renewal: $200. |
Responsible Agency: |
Finance & Corporate Securities Div DFCS - Licenses |
Examination Information: |
None required for firm; see Securities Salesperson requirements |
Bonding Requirements: |
None |
Insurance Requirements: |
None |
Prerequisites: |
- Completed application Form BD; filed electronically with Central Registration Depository
- Filed NASD-BD Consent Form
- Filed supervisor's name
- Completed Salespersons Application U-4
|
Application Form: |
Uniform application for Broker-Dealer Registration |
Service Links: |
Division Web site, Securities Broker/dealer section
NASD Broker Check
Application
Agency Contact Information
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Additional Information: |
Overnight mail address: 350 Winter St NE, Room 410 Salem, OR 97301-3881 |
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Agency Information
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Please refer to the Agency Website for further details and additional information.
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Agency Name: |
Finance & Corporate Securities Div DFCS - Licenses |
E-mail Address: |
dcbs.dfcsmail@state.or.us
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Phone: |
503-378-4140
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Mail Address: |
Division of Finance & Corporate Securities PO Box 14480
Salem, OR 97309
- 0405
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Website Information: |
http://dfcs.oregon.gov/ |