Dealer Requirements: Must complete a U-4 registration form if not already an Oregon-licensed broker/dealer. The initial registration fee for broker/dealers is $100. Salesperson licensing fee is $15 for each salesperson.

Filing Fees: Every registration application submitted shall be accompanied by a fee of $1 per $1,000 of the aggregate price of the securities to be offered in the state for the first $100,000 or fraction thereof, and $.50 per $1,000 on the next $200,000 or fraction thereof and $25 per $100,00 for each additional $100,000 or fraction thereof, but in no case shall the fee be less than $25 nor more than $375.

Official Recognition: Yes

Relevant Statute:

Forms: Form U-7 needed for the registration process.

Regulatory Contact:

Contact:
Department of Consumer and Business Services Division of Finance and Corporate Securities

Address:
350 Winter Street NE, Room 21
Salem OR 97310-3881

Phone:
(503) 378-4140

Fax:
(503) 947-7862

Web Site:
http://www.cbs.state.or.us/external/dfcs

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