Securities
Oregon Revised Statutes Chapter 59
The number of licensing transactions for broker-dealer firms and licensing or notice filings for investment adviser or investment adviser firms increased from 105,388 in 2003 to 109,972 in 2004, an increase of 4.35%. On December 31, 2004, we had 82,776 broker-dealer salespeople, 1,822 NASD broker-dealer firms, 10 non-NASD firms and 22 Canadian firms licensed in Oregon. In the same time pe`riod, we had 862 federal covered investment adviser firms, which are notices filed with the Division, and 212 state firms licensed in Oregon. 82 of the federal covered firms and 202 of the state firms are Oregon based investment adviser firms.
The number of licensed broker-dealer firms and their salespersons increased at a faster pace than in 2003. The number of firms increased by 2.43% compared with a decrease of 0.77% in 2003. In 2004, the number of salespeople increased by 4.1% compared with an increase of 0.79% in 2003. The numbers for licensing or notice filings for investment adviser firms and their representatives held steady from 2003 to 2004, with an increase of less than 1%.
Broker-dealer •
Investment advisor •
Securities registration
Broker-dealers
De minimis exemption: There is no de minimis exemption from licensing available in Oregon for broker-dealer firms or salespersons.
Forms •
Frequently asked questions •
Licensing
Licensing fees •
Resources •
Securities brokers/dealers application information
Securities salesperson application information •
Statutes & Rules •
Trade/assumed business name
Forms
Dual undertaking 440-2131
last updated: 03/08/2006
PDF
Form U-10 NASAA form
last updated: 09/24/2007
PDF
Form U-4 NASAA form
last updated: 05/18/2009
PDF
Form U-5 NASAA form
last updated: 09/24/2007
PDF
Form U-5 Instructions NASAA form
last updated: 09/24/2007
PDF
Trade/assumed name 440-2774
last updated: 03/08/2006
PDF
Initial
Renewal
Statutes and Rules
Securities enforcement
Commodity transactions
ORS Chapter 645
Franchise transactions
ORS Chapter 650
Securities Regulation; Mortgage Bankers and Brokers
ORS Chapter 59
Books and records requirements
OAR Chapter 441, Div. 195
Conditions of registration
OAR Chapter 441, Div. 85
Denial, withdrawal or conditioning of exemptions
OAR Chapter 441, Div. 45
Exempt securities
OAR Chapter 441, Div. 25
Exempt transactions
OAR Chapter 441, Div. 35
Federal covered securities
OAR Chapter 441, Div. 49
General provisions
OAR Chapter 441, Div. 11
License cancellation, withdrawal
OAR Chapter 441, Div. 225
License denial, suspension, or revocation
OAR Chapter 441, Div. 205
Licensing (Broker-dealer, investment advisor, and individuals)
OAR Chapter 441, Div. 175
Renewal of securities registration
OAR Chapter 441, Div. 75
Securities registration
OAR Chapter 441, Div. 65
Forms
Dual undertaking 440-2131
last updated: 03/08/2006
PDF
Firm renewal 440-2306
last updated: 03/08/2006
PDF
Form ADV (Parts 1A & 1B, plus instructions) NASAA form
last updated: 09/24/2007
PDF
Form ADV Part II Please visit the NASAA website for this form.
last updated: 09/26/2007
Form U-4 NASAA form
last updated: 05/18/2009
PDF
Salesperson renewal 440-2118
last updated: 03/08/2006
PDF
| Word
Surety bond 440-2014
last updated: 03/08/2006
PDF
Trade/assumed name 440-2774
last updated: 03/08/2006
PDF
| Word
Statutes and Rules
Securities
Commodity transactions
ORS Chapter 645
Franchise transactions
ORS Chapter 650
Securities Regulation; Mortgage Bankers and Brokers
ORS Chapter 59
Books and records requirements
OAR Chapter 441, Div. 195
Conditions of registration
OAR Chapter 441, Div. 85
Denial, withdrawal or conditioning of exemptions
OAR Chapter 441, Div. 45
Exempt securities
OAR Chapter 441, Div. 25
Exempt transactions
OAR Chapter 441, Div. 35
Federal covered securities
OAR Chapter 441, Div. 49
General provisions
OAR Chapter 441, Div. 11
License cancellation, withdrawal
OAR Chapter 441, Div. 225
License denial, suspension, or revocation
OAR Chapter 441, Div. 205
Licensing (Broker-dealer, investment advisor, and individuals)
OAR Chapter 441, Div. 175
Renewal of securities registration
OAR Chapter 441, Div. 75
Securities registration
OAR Chapter 441, Div. 65
Fee schedule
(Contains selected examples of the fee schedule for securities registration.)
Forms
Form D SEC form
last updated: 09/25/2007
PDF
Form U-1 NASAA form
last updated: 09/24/2007
PDF
Form U-4 NASAA form
last updated: 05/18/2009
PDF
Form U-4 Instructions
last updated: 11/14/2007
PDF
| Word
Oregon form 440-2013
last updated: 06/26/2006
PDF
| Word
Proceeds Escrow Agreement 440-3517
last updated: 11/14/2007
PDF
Salesperson renewal 440-2118
last updated: 03/08/2006
PDF
| Word
Stock Escrow Agreement 440-3438
last updated: 11/14/2007
PDF
There is an instruction sheet (.pdf ) available to explain the requirements for filling out the Form U-4 for issuer salespersons.
Rule 504 and SCOR registration
NASAA policy
SCOR forms - The SCOR form U-7, along with the issuer's manual and instructions can be downloaded at the NASAA's SCOR forms Web page.
Statutes and Rules
Securities
Commodity transactions
ORS Chapter 645
Franchise transactions
ORS Chapter 650
Securities Regulation; Mortgage Bankers and Brokers
ORS Chapter 59
Books and records requirements
OAR Chapter 441, Div. 195
Conditions of registration
OAR Chapter 441, Div. 85
Denial, withdrawal or conditioning of exemptions
OAR Chapter 441, Div. 45
Exempt securities
OAR Chapter 441, Div. 25
Exempt transactions
OAR Chapter 441, Div. 35
Federal covered securities
OAR Chapter 441, Div. 49
General provisions
OAR Chapter 441, Div. 11
License cancellation, withdrawal
OAR Chapter 441, Div. 225
License denial, suspension, or revocation
OAR Chapter 441, Div. 205
Licensing (Broker-dealer, investment advisor, and individuals)
OAR Chapter 441, Div. 175
Renewal of securities registration
OAR Chapter 441, Div. 75
Securities registration
OAR Chapter 441, Div. 65