Securities fees

A 2003 law requires that securities fees be set by rule in an amount that the director of the Department of Consumer and Business Services determines is equal as nearly as possible to the national midpoint for similar fees charged by all other state securities regulatory agencies. The fees are reviewed every two years.

Information on fees is obtained from all other states, and that information is analyzed by the department's financial economist and staff. Based on this analysis, and input received from the public, Fees are set as follows:

Licensing of firms and individuals

*The initial license for Canadian firms and individuals and for firms and individuals licensing through the CRD/IARD system expires on December 31. For any other firm or individual licensing directly with the department, the license is effective for 1 year from issuance.

**The issuer agent initial license is valid for a maximum of 1 year and expires when the issuer's Order of Registration expires.

Registration of securities: For initial and any renewal applications, fees will be 1/10 of 1% of the amount being offered in Oregon, with minimum fees of $200 and maximum fees of $1,500. An Order of Registration is effective for 1 year from the date of issuance.

Notice filings for federal-covered securities

***Issuers may submit filings containing multiple portfolios/series, provided the portfolios/series are identified and the correct fees are paid.