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.
Banking •
Check-cashing •
Collection agencies •
Consumer finance •
Credit services organization
Credit unions •
Debt consolidating agencies •
Investor information program
Manufactured Structures Dealer •
Money transmitters •
Mortgage lending •
Pawnbrokers
Prearranged funeral plans (preneed certified providers), endowment care, & master trustees
Broker dealer •
Investment adviser •
Securities registration
|
Finance |
Banking |
Application for authority to organize a state bank 440-2208
last updated: 04/20/2006 |
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
|
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 business initial license application (for businesses with a current consumer finance or pawnbroker license) 440-4770
last updated: 05/08/2008 |
PDF
| Word |
Check-cashing business initial license application (for businesses without a current consumer finance or pawnbroker license) 440-4771
last updated: 05/08/2008 |
PDF
| Word |
Collection agencies |
Application form 440-2778
last updated: 08/22/2007 |
PDF
| Word |
Consumer finance |
Consumer finance and short-term personal loan initial license application 440-2789
last updated: 04/01/2008 |
PDF
| Word |
Consumer finance and short-term personal loan license application for additional location 440-4027
last updated: 04/01/2008 |
PDF
| Word |
Conventional loan licensee 2006 annual report
last updated: 05/04/2007 |
PDF
|
Short-term loan licensee 2006 annual report
last updated: 05/04/2007 |
PDF
|
Credit services organization |
Initial registration pack 440-2793
last updated: 03/21/2006 |
PDF
| Word |
Renewal registration pack 440-2794
last updated: 03/08/2006 |
PDF
| Word |
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: 03/08/2006 |
PDF
| Word |
Model bylaws 440-2783
last updated: 03/08/2006 |
PDF
| Word |
Debt consolidating agencies |
Biennial renewal form 440-3364
last updated: 03/21/2006 |
PDF
| Word |
Initial registration pack 440-2799
last updated: 05/12/2008 |
PDF
| Word |
Investor information program |
| Need a speaker? Call the investor information program 440-3277 |
On-line form or PDF |
Manufactured Structures Dealer |
Irrevocable Letter of Credit 440-3485
last updated: 02/13/2007 |
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 |
Money transmitters |
Bond agreement 440-3274
last updated: 03/08/2006 |
PDF
|
Deposit in lieu of security device 440-4603
last updated: 03/08/2006 |
PDF
|
Initial application 440-3260
last updated: 11/06/2007 |
PDF
| Word |
Renewal application 440-3265
last updated: 11/06/2007 |
PDF
| Word |
Mortgage lending |
Affidavit and undertaking - no clients' trust account 440-2776
last updated: 06/01/2007 |
PDF
| Word |
Change of name or address request 440-3919
last updated: 03/08/2006 |
PDF
| Word |
Clients' trust account, notice of 440-2777
last updated: 03/08/2006 |
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 |
Loan originator notification form 440-2772
last updated: 03/08/2006 |
PDF
| Word |
Loan originator termination notification 440-2907
last updated: 03/08/2006 |
PDF
| Word |
Mortgage lender application package 440-2773, etc.
last updated: 06/28/2007 |
PDF
| Word |
New branch application 440-3910, etc.
last updated: 03/08/2006 |
PDF
| Word |
Nonprofit applying for mortgage lender licensing exclusion request 440-3457
last updated: 12/15/2006 |
PDF
| Word |
Section 5 - Affiliated Person Information 2894
last updated: 03/08/2006 |
PDF
| Word |
Surety bond form 440-2775
last updated: 06/28/2007 |
PDF
| Word |
Pawnbrokers |
Annual report form 440-3371
last updated: 03/08/2006 |
PDF
| Word |
Application package 440-3232
last updated: 03/08/2006 |
PDF
| Word |
Prearranged funeral plans (preneed certified providers), endowment care cemeteries, and master trustees |
Annual report - short form 440-4015
last updated: 03/08/2006 |
PDF
|
Annual report form for certified provider 440-4014
last updated: 04/01/2008 |
PDF
|
Application for certified provider 440-4011
last updated: 09/06/2006 |
PDF
|
Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013
last updated: 09/25/2006 |
PDF
|
Funeral and Cemetery Consumer Protection Trust Fund Claim for Restitution 440-4018
last updated: 09/25/2006 |
PDF
|
Notice of appointment of successor depository or master trustee 440-3437
last updated: 04/11/2008 |
PDF
| Word |
Funeral and cemetery - Consumer Protection Fund |
Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013
last updated: 09/25/2006 |
PDF
|
Funeral and Cemetery Consumer Protection Trust Fund Claim for Restitution 440-4018
last updated: 09/25/2006 |
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 dealer |
Dual undertaking 440-2131
last updated: 03/08/2006 |
PDF
|
Form U-10 NASAA form
last updated: 09/24/2007 |
PDF
|
Form U-4 NASAA form
last updated: 09/24/2007 |
PDF
|
Form U-5 NASAA form
last updated: 09/24/2007 |
PDF
|
Form U-5 Instructions NASAA form
last updated: 09/24/2007 |
PDF
|
Trade/assumed name 440-2774
last updated: 03/08/2006 |
PDF
| Word |
Investment adviser |
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: 09/24/2007 |
PDF
|
Salesperson renewal 440-2118
last updated: 03/08/2006 |
PDF
| Word |
Surety bond 440-2014
last updated: 03/08/2006 |
PDF
|
Trade/assumed name 440-2774
last updated: 03/08/2006 |
PDF
| Word |
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: 09/24/2007 |
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
|
Salesperson renewal 440-2118
last updated: 03/08/2006 |
PDF
| Word |
Stock Escrow Agreement 440-3438
last updated: 11/14/2007 |
PDF
|
