Applications, forms, and reports
Finance
Securities
Portable document format (PDF): PDFs need to be printed first, then completed, and mailed to the Division for processing. If you are unable to open one, please download Acrobat Reader from Adobe .
MS Word (Word): If you have MS Word you can fill it in, print it, and mail it to the Division for processing.
Online fillable forms (On-line form): Form that can be filled out online, then submitted to the Division for processing.
Banks & trusts
Application for authority to organize a state bank 440-2208 last updated: 10/21/2008
PDF
Confidential biographical and financial report 440-2070 last updated: 03/08/2006
PDF Word
Designation of registered agent and/or office 440-4009 last updated: 03/08/2006
PDF
Public Records Request 440-4871 last updated: 11/13/2009
PDF
Request for a certificate of name compliance 440-4867 last updated: 10/22/2009
PDF Word
Special qualifications registration 440-2042 last updated: 12/15/2006
PDF
Trust company application 440-4008 last updated: 03/08/2006
PDF
Check-cashing businesses
Check-cashing annual report 440-4803 last updated: 10/30/2012 PDF Word
Check-cashing business initial license application (for businesses with a current consumer finance or pawnbroker license) 440-4770 last updated: 07/14/2011 PDF Word
Check-cashing business initial license application (for businesses without a current consumer finance or pawnbroker license) 440-4771 last updated: 06/02/2008 PDF Word
Criminal background and credit check authorization 440-4912 last updated: 05/10/2012 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Reporte Anual de Cambio de Cheques 440-4803s last updated: 11/20/2012 PDF Word
Collection agencies
Application packet 440-2778 last updated: 03/04/2011 PDF Word
Criminal background and credit check authorization 440-4912 last updated: 05/10/2012 PDF Word
Irrevocable Letter of Credit 440-4881 last updated: 06/28/2010 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Consumer finance companies
Consumer Finance Initial License Application 440-2789 last updated: 12/08/2010 PDF Word
Consumer Finance License Application Additional Location 440-4027 last updated: 06/13/2012 PDF Word
Consumer Finance Licensee Annual Report 440-4818 last updated: 06/13/2012 PDF Word
Criminal background and credit check authorization 440-4912 last updated: 05/10/2012 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Credit unions
Branch application and checklist 440-2784 last updated: 05/12/2008 PDF Word
Bylaw amendment 440-2780 last updated: 05/17/2006 PDF Word
Change of location 440-2779 last updated: 03/08/2006 PDF Word
Change of registered office and/or agent 440-2781 last updated: 03/08/2006 PDF Word
Change to list of officials 440-2935 last updated: 03/08/2006 PDF Word
List of officials 440-2782 last updated: 10/18/2010 PDF Word
Model bylaws 440-2783 last updated: 03/08/2006 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Debt management service providers
Debt Management Service Provider Registration Application 440-4858 last updated: 08/02/2012 PDF Word
Debt management service provider renewal application 440-2692 last updated: 08/02/2012 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Endowment care
Annual report - endowment care cemeteries 440-4016 last updated: 12/13/2007 PDF
Endowment Care for Burial Vaults and Markers Penal Bond with Surety 440-3375 last updated: 12/13/2007 PDF Word
Endowment Care for Crypts or Niches Penal Bond with Surety 440-3374 last updated: 12/13/2007 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Funeral and cemetery - Consumer Protection Fund
Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013 last updated: 01/19/2012 PDF Word
Funeral and Cemetery Consumer Protection Trust Fund Claim for Restitution 440-4018 last updated: 06/07/2011 PDF Word
Irreducible fund cemeteries
Irreducible fund cemetery annual report 440-2929 last updated: 03/01/2012 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Manufactured structures dealers
Irrevocable Letter of Credit 440-3485 last updated: 11/23/2011 PDF Word
Limited Manufactured Structures Dealer License Application 440-2965 last updated: 11/30/2006 PDF Word
Manufactured Structures Dealer and Limited Manufactured Structures Dealer License Correction Application 440-2964 last updated: 12/01/2006 PDF Word
Manufactured Structures Dealer and Limited Manufactured Structures Dealer Surety Bond 440-2966 last updated: 11/30/2006 PDF
Manufactured Structures Dealer License Application 440-2962 last updated: 12/27/2006 PDF Word
Manufactured Structures Dealer Supplemental License Application 440-2963 last updated: 11/30/2006 PDF Word
Manufactured Structures License Report of Examination 440-3498 last updated: 06/12/2007 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Master trustees
Master trustee annual report and registration renewal 440-4017 last updated: 01/18/2012 PDF Word
Master trustee election to pay administrative fees & expenses from trust fund deposits 440-4955 last updated: 12/26/2012 PDF
Master trustees registration application 440-4012 last updated: 06/30/2011 PDF Word
Notice of appointment of successor depository or master trustee 440-3437 last updated: 04/11/2008 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Money transmitters
Bond agreement 440-3274 last updated: 03/08/2006 PDF
Criminal background and credit check authorization 440-4912 last updated: 05/10/2012 PDF Word
Deposit in lieu of security device 440-4603 last updated: 03/08/2006 PDF
Initial application 440-3260 last updated: 09/23/2010 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Renewal application 440-3265 last updated: 11/06/2007 PDF Word
Mortgage lenders
Affidavit and undertaking - no clients' trust account 440-2776 last updated: 02/08/2010 PDF Word
Checklist for Determination of Qualification for Bona Fide Nonprofit Organization Status 440-4935 last updated: 08/16/2012 PDF Word
Clients' trust account, notice of 440-2777 last updated: 02/08/2010 PDF Word
Examination - loan worksheet 440-3369 last updated: 03/08/2006 PDF Word
Examination report 440-3368 last updated: 08/31/2007 PDF Word
Foreclosure Notice 440-4795 last updated: 01/12/2012 PDF Word
Interest Rate Lock/Float Agreement 440-4828 last updated: 10/29/2010 PDF Word
Investor Disclosure Information 440-4827 last updated: 08/20/2008 PDF Word
Mortgage Lender Report of Limited Examination 440-0949 last updated: 12/11/2008 PDF Word
Personnel Information Ledger 440-4826 last updated: 01/07/2010 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Surety bond form 440-2775 last updated: 02/08/2010 PDF Word
Pawnbrokers
Annual report form 440-3371 last updated: 12/12/2012 PDF Word
Application package 440-3232 last updated: 11/09/2012 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Payday lending and title lending
Criminal background and credit check authorization 440-4912 last updated: 05/10/2012 PDF Word
Payday / Title License Application Additional Location 440-4891 last updated: 10/20/2010 PDF Word
Payday / Title Licensee Annual Report 440-4817 last updated: 06/13/2012 PDF Word
Payday / Title Loan Initial License Application 440-4892 last updated: 09/23/2010 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Prearranged funeral plans (preneed certified providers)
Certified provider annual report and certification renewal 440-4014 last updated: 01/12/2012 PDF Word
Certified provider application 440-4011 last updated: 07/14/2011 PDF Word
Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013 last updated: 01/19/2012 PDF Word
Notice of appointment of successor depository or master trustee 440-3437 last updated: 04/11/2008 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Securities
Note: Several of the forms in this section are from the NASAA or SEC websites. While we make every effort to ensure these forms are current, you are encouraged to visit the NASAA website or the SEC website for these forms.
Broker dealers
Dual undertaking 440-2131 last updated: 03/08/2006 PDF
Form U-4 NASAA form last updated: 05/18/2009 PDF
Form U-5 NASAA form last updated: 09/24/2007 PDF
Form U-5 Instructions NASAA form last updated: 09/24/2007 PDF
Non-FINRA Broker-Dealer Renewal Application 440-2785 last updated: 04/04/2011 PDF Word
Oregon Broker-Dealer Affidavit 440-4861 last updated: 09/23/2009 PDF Word
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Registration for Resale, or Dealing and Trading 440-2203 last updated: 04/04/2011 PDF Word
Trade/assumed name 440-2774 last updated: 03/08/2006 PDF Word
Investment advisors
Dual undertaking 440-2131 last updated: 03/08/2006 PDF
Firm renewal 440-2306 last updated: 03/08/2006 PDF
Form ADV (Parts 1A & 1B, plus instructions) NASAA form last updated: 09/24/2007 PDF
Form ADV Part II Please visit the NASAA website for this form. last updated: 09/26/2007
Form U-4 NASAA form last updated: 05/18/2009 PDF
Public Records Request 440-4871 last updated: 11/13/2009 PDF
Representative/salesperson renewal 440-2118a last updated: 01/16/2013 PDF Word
Representative/salesperson termination 440-2118b last updated: 09/20/2010 PDF Word
Surety bond 440-2014 last updated: 03/08/2006 PDF
Trade/assumed name 440-2774 last updated: 03/08/2006 PDF Word
Investor information program
Securities registration
Form D SEC form last updated: 09/25/2007 PDF
Form U-1 NASAA form last updated: 09/24/2007 PDF
Form U-4 NASAA form last updated: 05/18/2009 PDF
Form U-4 Instructions last updated: 11/14/2007 PDF
Oregon form 440-2013 last updated: 06/26/2006 PDF Word
Proceeds Escrow Agreement 440-3517 last updated: 11/14/2007 PDF
Registration for Resale, or Dealing and Trading 440-2203 last updated: 04/04/2011 PDF Word
Representative/salesperson renewal 440-2118a last updated: 01/16/2013 PDF Word
Representative/salesperson termination 440-2118b last updated: 09/20/2010 PDF Word
Solicitation of Interest 440-3008 last updated: 12/01/2009 PDF Word
Stock Escrow Agreement 440-3438 last updated: 11/14/2007 PDF
