Or. Admin. Code § 441-175-0002

Current through Register Vol. 63, No. 11, November 1, 2024

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

Pursuant to ORS 59.175, 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.

Or. Admin. Code § 441-175-0002

FCS 2-2003(Temp), f. & cert. ef. 11-26-03 thru 5-21-04; FCS 1-2004, f. & cert. ef. 5-19-04; FCS 8-2010, f. 6-22-10, cert. ef. 7-1-10; FCS 1-2012, f. & cert. ef. 7-9-12; FSR 1-2016, f. & cert. ef. 3/7/2016; FSR 2-2017, f. 1-31-17, cert. ef. 2/1/2017; FSR 2-2019, amend filed 03/18/2019, effective4/1/2019

Statutory/Other Authority: ORS 59.175

Statutes/Other Implemented: ORS 59.175