| 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
|
| 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
|
| Additional Information: |
Overnight mail address: 350 Winter St NE, Room 410
Salem, OR 97301-3881 |
|
| |
Agency Information
|
|
Please refer to the Agency Website for further details and additional information.
|
| Agency Name: |
Finance & Corporate Securities Div DFCS - Licenses |
| E-mail Address: |
dcbs.dfcsmail@state.or.us
|
| Phone: |
503-378-4140
|
| Mail Address: |
Division of Finance & Corporate Securities
PO Box 14480
Salem, OR 97309
- 0405
|
| Website Information: |
http://dfcs.oregon.gov/ |
