The securities section protects investors from fraud by regulating the sale of securities and franchises; registering securities offerings made in Oregon; and licensing businesses and person who sell investment securities and investment advisors.

In addition, the securities section also educates investors to help them identify and avoid fraudulent investment schemes. For more information on our investor information outreach services, visit our Investor Information site.

• Broker-dealer information
• Investment advisor information
• Securities registration information

De minimis exemption: There is no de minimis exemption from licensing available in Oregon for broker-dealer firms or salespersons.

• Forms
• Frequently asked questions
• Licensing
• Licensing fees
• Resources
• Securities brokers/dealers application information
• Securities salesperson application information
• Statutes & Rules
• Trade/assumed business name

Initial

• Broker/dealer initial licensing requirements (FINRA)
• Broker/dealer initial licensing requirements (Non-FINRA)
• Broker/dealer initial licensing requirements (Canadian)

Renewal

• Broker/dealer renewal licensing requirements (FINRA)
• Broker/dealer renewal licensing requirements (Non-FINRA)
• Broker/dealer renewal licensing requirements (Canadian)

Resources

	Check out your broker
	Financial Literacy 2010 - a national campaign to increase the average high school student's savvy about personal finance and investment
	Investing online: Tips from the State of Washington's Investor Information Program
	Investment Advisor Public Disclosure Web site (IAPD) - Public information about firms on IARD
	National Association of Securities Dealers (NASD): Regulation
	National Association of Securities Dealers (NASD): Web site
	North American Securities Administrators Association (NASAA)
	Office of Administrative Hearings
	Securities & Exchange Commission (SEC)

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• Forms
• Frequently asked questions
• Licensing fees
• Licensing/notice filings
• Investment adviser firm application information
• Investment adviser representative application information
• Privacy requirements
• Resources
• Search investment adviser database
• Statutes & rules
• Trade/assumed business name

• Available exemptions
• Through IARD
• Not through IARD
• IA representatives
• Solicitor/Referral fees
• Dual licensing
• Designations

Resources

	Check out your broker
	Financial Literacy 2010 - a national campaign to increase the average high school student's savvy about personal finance and investment
	Investing online: Tips from the State of Washington's Investor Information Program
	Investment Advisor Public Disclosure Web site (IAPD) - Public information about firms on IARD
	National Association of Securities Dealers (NASD): Regulation
	National Association of Securities Dealers (NASD): Web site
	North American Securities Administrators Association (NASAA)
	Office of Administrative Hearings
	Securities & Exchange Commission (SEC)

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• Fee schedule
• Forms
• Frequently asked questions
• Resources
• Registration of securities offering
• Rule 504 and SCOR registration
• Statutes & Rules
• Tenancies-in-common (TICs)

Consumer alerts and press releases

Securities Fee Change - 02/27/08

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Resources

	Check out your broker
	Financial Literacy 2010 - a national campaign to increase the average high school student's savvy about personal finance and investment
	Investing online: Tips from the State of Washington's Investor Information Program
	Investment Advisor Public Disclosure Web site (IAPD) - Public information about firms on IARD
	National Association of Securities Dealers (NASD): Regulation
	National Association of Securities Dealers (NASD): Web site
	North American Securities Administrators Association (NASAA)
	Office of Administrative Hearings
	Securities & Exchange Commission (SEC)

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• NASAA policy
• SCOR forms - The SCOR form U-7, along with the issuer's manual and instructions can be downloaded at the NASAA's SCOR forms Web page.