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Securities fees

Licensing of firms and individuals

Type of license
Initial fee
Duration
Renewal fee
Broker-dealer firm
$250
1 year*
$250
Broker-dealer salesperson
$60
1 year*
$55
Federal covered investment adviser
$200
1 year*
$200
State regulated investment adviser
$200
1 year*
$200
Investment adviser representative
$50
1 year*
$50
Issuer agent
$50
1 year**
$50

*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 a minimum fee of $200 and a maximum fee of $1,500. An Order of Registration is effective for 1 year from the date of issuance.

Notice filings for federal-covered securities
Type of filing
Initial fee
Duration
Renewal fee
Mutual fund
$500 per portfolio/series***
1 year
$500 per portfolio/series***
Unit investment trust
$500 per portfolio/series***
1 year
$500 per portfolio/series***
Reg. D Rule 506
$250
Indefinite
Not Applicable
Other federal covered securities [§18(b)(3) and (b)(4) except (b)(4)(D)]
$200
Indefinite
Not Applicable

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