OAR 441-175-0002: Fees for Licensing or Notice Filing of Firms and Individuals

Pursuant to ORS 59.175, the director sets the following fees for licensing or notice filing of firms and individuals: (1) For a broker-dealer, an initial license fee of $250 and a renewal license fee of $250; (2) For a state investment adviser, an initial license fee of $200 and a renewal license fee of $200; (3) For a federal covered investment adviser, an initial notice filing fee of $200 and a renewal notice filing fee of $200; (4) For a broker-dealer salesperson, an initial license fee of $60 and a renewal license fee of $60; (5) For an investment adviser representative, an initial license fee of $50 and a renewal license fee of $50; (6) For an agent of an issuer, an initial license fee of $60 and a renewal license fee of $60; and (7) For a filing for use of a trade name or an assumed business name, a one-time fee of $50.