Pursuant to ORS 59.175, the director sets the following fees for licensing or notice filing of firms and individuals:

1. (1) For a broker-dealer, an initial license fee of $250 and a renewal license fee of $250;
2. (2) For a state investment adviser, an initial license fee of $200 and a renewal license fee of $200;
3. (3) For a federal covered investment adviser, an initial notice filing fee of $200 and a renewal notice filing fee of $200;
4. (4) For a broker-dealer salesperson, an initial license fee of $60 and a renewal license fee of $60;
5. (5) For an investment adviser representative, an initial license fee of $50 and a renewal license fee of $50;
6. (6) For an agent of an issuer, an initial license fee of $60 and a renewal license fee of $60; and
7. (7) For a filing for use of a trade name or an assumed business name, a one-time fee of $50.

Statutory/Other Authority

ORS 59.049 & ORS 59.175

Statutes/Other Implemented

ORS 59.175

History

FSR 4-2025, amend filed 11/21/2025, effective 01/01/2026
FSR 2-2019, amend filed 03/18/2019, effective 04/01/2019
FSR 2-2017, f. 1-31-17, cert. ef. 2-1-17
FSR 1-2016, f. & cert. ef. 3-7-16
FCS 1-2012, f. & cert. ef. 7-9-12
FCS 8-2010, f. 6-22-10, cert. ef. 7-1-10
FCS 1-2004, f. & cert. ef. 5-19-04
FCS 2-2003(Temp), f. & cert. ef. 11-26-03 thru 5-21-04