OAR 441-175-0080
Applications for Licensing of Broker-Dealers

(1)

An applicant for licensing as a FINRA broker-dealer must submit to the FINRA/CRD:

(a)

A completed Form BD;

(b)

A broker-dealer licensing fee as set in OAR 441-175-0002 (Fees for Licensing or Notice Filing of Firms and Individuals);

(c)

At least one completed Form U-4 pursuant to OAR 441-175-0130 (Licensing of Salespersons to FINRA Broker-Dealers). All licensed broker-dealers must have at least one salesperson licensed continuously throughout the licensing period of the broker-dealer; and

(d)

A salesperson licensing fee for each salesperson as set in OAR 441-175-0002 (Fees for Licensing or Notice Filing of Firms and Individuals).

(2)

An applicant for licensing as a non-FINRA broker-dealer must submit to the director:

(a)

A completed Form BD;

(b)

A broker-dealer licensing fee as set in OAR 441-175-0002 (Fees for Licensing or Notice Filing of Firms and Individuals);

(c)

At least one completed Form U-4 pursuant to OAR 441-175-0120 (Licensing of Salespersons or Representatives to Non-FINRA Broker-Dealers, State or Federal Covered Investment Advisers, Issuers and Owners of Securities). All licensed broker-dealers must have at least one salesperson licensed continuously throughout the licensing period of the broker-dealer;

(d)

A salesperson licensing fee for each salesperson as set in OAR 441-175-0002 (Fees for Licensing or Notice Filing of Firms and Individuals); and

(e)

The name of the person or persons designated as supervisors for purposes of OAR 441-205-0210 (Supervision of Associated Persons). When a new supervisor is designated, this change must be filed with the director within 30 days following the change.
[ED. NOTE: Forms referenced are available from the agency.]

Source: Rule 441-175-0080 — Applications for Licensing of Broker-Dealers, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=441-175-0080.

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 441-175-0080’s source at or​.us