Oregon Administrative Rules|Section 441-175-0080 - Applications for Licensing of Broker-Dealers

                                                
Current through Register Vol. 60, No. 12, December 1, 2021 
(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;
 
(c) At least one completed Form U-4 pursuant to OAR 441-175-0130. 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.
 
 
(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;
 
(c) At least one completed Form U-4 pursuant to OAR 441-175-0120. 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; and
 
(e) The name of the person or persons designated as supervisors for purposes of OAR 441-205-0210. When a new supervisor is designated, this change must be filed with the director within 30 days following the change.
 
 
Or. Admin. R. 441-175-0080
FCS 7-1987(Temp), f. 9-24-87, ef. 9-28-87; FCS 6-1988, f. 3-22-88, cert. ef. 3-25-88; Renumbered from 815-030-0067.2; FCS 16-1988(Temp), f. & cert. ef. 11-21-88; FCS 5-1989, f. & cert. ef. 5-17-89; FCS 1-1992, f. 1-31-92, cert. ef. 2-1-92; FCS 7-2000; f. & cert. ef. 6-2-00; FCS 2-2003(Temp), f. & cert. ef. 11-26-03 thru 5-21-04; FCS 1-2004, f. & cert. ef. 5-19-04; FCS 1-2012, f. & cert. ef. 7-9-12
Forms referenced are available from the agency.
Stat. Auth.: ORS 59.175, 59.195 & 59.285
 
Stats. Implemented: ORS 59.165, 59.175, 59.185, 59.195& 59.285