OAR 441-175-0002
Fees for Licensing or Notice Filing of Firms and Individuals

Pursuant to ORS 59.175 (Procedures for notice filing and licensing), the director sets the following fees for licensing or notice filing of firms and individuals:

(1)

For a broker-dealer, an initial license fee of $250 and a renewal license fee of $250;

(2)

For a state investment adviser, an initial license fee of $200 and a renewal license fee of $200;

(3)

For a federal covered investment adviser, an initial notice filing fee of $200 and a renewal notice filing fee of $200;

(4)

For a broker-dealer salesperson, an initial license fee of $60 and a renewal license fee of $60;

(5)

For an investment adviser representative, an initial license fee of $50 and a renewal license fee of $50;

(6)

For an agent of an issuer, an initial license fee of $50 and a renewal license fee of $50; and

(7)

For a filing for use of a trade name or an assumed business name, a one time fee of $50.

Source: Rule 441-175-0002 — Fees for Licensing or Notice Filing of Firms and Individuals, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=441-175-0002.

441‑175‑0002
Fees for Licensing or Notice Filing of Firms and Individuals 441‑175‑0010
Definitions 441‑175‑0015
When Licensing Application Deemed Abandoned 441‑175‑0020
Exclusion from Definition of “Broker-Dealer” 441‑175‑0030
Exclusion from Definition of “Investment Adviser” 441‑175‑0040
Exclusion from Definition of “Salesperson” 441‑175‑0041
Exclusion from Definition of “Investment Adviser Representative” 441‑175‑0046
Federal Covered Investment Advisor Representative 441‑175‑0050
Rules of Fair Practice for Real Estate Licensees 441‑175‑0055
Rules of Fair Practice for Mortgage Banker and Mortgage Broker Licensees 441‑175‑0060
Licensing Rule Implementing, 1997 Oregon Laws Chapter 772 and the National Markets Improvement Act of 1996 441‑175‑0070
General Licensing Rules for Broker-Dealers, Investment Advisers and Salespersons, Succession and Acquisition 441‑175‑0080
Applications for Licensing of Broker-Dealers 441‑175‑0085
Limited Licensing of Canadian Broker-Dealers and Salespersons 441‑175‑0100
Applications for Licensing of Investment Advisers 441‑175‑0105
Material Changes, Amendments and Notice of Civil and Criminal Actions 441‑175‑0110
Surety Bond 441‑175‑0120
Licensing of Salespersons or Representatives to Non-FINRA Broker-Dealers, State or Federal Covered Investment Advisers, Issuers and Owners of Securities 441‑175‑0130
Licensing of Salespersons to FINRA Broker-Dealers 441‑175‑0140
Disqualification from Automatic Licensing 441‑175‑0150
Termination or Cancellation of Salesperson or Investment Adviser Representative License 441‑175‑0160
Renewal of FINRA Broker-Dealer and Salesperson Licenses 441‑175‑0165
Renewal of the Licenses of Non-FINRA Broker-Dealers or State Investment Advisers, and Their Salespersons or Investment Adviser Representatives 441‑175‑0171
Use of Trade Name or Assumed Business Name 441‑175‑0175
Internet Communications 441‑175‑0185
Errors and Omissions Coverage under ORS 59.175
Last Updated

Jun. 8, 2021

Rule 441-175-0002’s source at or​.us