Broker/dealer renewal licensing requirements (Canadian)

A notice for renewal of the license of a Canadian broker-dealer and its salespersons will be mailed to the most recent address provided by the firm. This notice will be sent approximately Nov. 1, to give the firm 60 days notice of the renewal process.

Renewal applications for Canadian broker-dealers and salespersons must be filed in our office by Jan. 1 of each calendar year following the date of original licensing.

Renewal applications consist of the most recent renewal application, if any, filed in the Canadian jurisdiction in which the broker-dealer has its head office, or if no such renewal application is required by the Canadian regulator, a copy of the most recent firm and individual(s) application filed in Oregon.

Renewal fees which must accompany the renewal application forms are $250 for the firm and $55 for each salesperson.

There is no fee for any salesperson whose license is being terminated. A check for the renewal fees should be made payable to the Department of Consumer and Business Services.

Reminder: each firm and salesperson licensed in Oregon is under a continuing obligation to notify the Director of any action being taken by any regulator which may affect the good standing of the licensee.