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Applications, forms, and reports

Finance
Securities

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Online fillable forms (On-line form): Form that can be filled out online, then submitted to the Division for processing.


Finance



Banks & trusts
Application for authority to organize a state bank 440-2208
last updated: 10/21/2008
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 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 
Request for a certificate of name compliance 440-4867
last updated: 03/05/2014
PDF  | Word 
Special qualifications registration 440-2042
last updated: 04/02/2014
PDF 
Trust company application 440-4008
last updated: 03/08/2006
PDF 

Check-cashing businesses
Check-cashing annual report 440-4803
last updated: 10/30/2012
PDF  | Word 
Check-cashing business initial license application (for businesses with a current consumer finance or pawnbroker license) 440-4770
last updated: 03/21/2014
PDF  | Word 
Check-cashing business initial license application (for businesses without a current consumer finance or pawnbroker license) 440-4771
last updated: 03/21/2014
PDF  | Word 
Criminal background and credit check authorization 440-4912
last updated: 06/20/2014
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 
Reporte Anual de Cambio de Cheques 440-4803s
last updated: 11/20/2012
PDF  | Word 

Collection agencies
Application packet 440-2778
last updated: 05/12/2014
PDF  | Word 
Criminal background and credit check authorization 440-4912
last updated: 06/20/2014
PDF  | Word 
Irrevocable Letter of Credit 440-4881
last updated: 06/28/2010
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Consumer finance companies
Consumer Finance Licensee Annual Report 440-4818
last updated: 06/13/2012
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Credit unions
Branch application and checklist 440-2784
last updated: 05/12/2008
PDF  | Word 
Bylaw amendment 440-2780
last updated: 07/18/2014
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: 10/18/2010
PDF  | Word 
Model bylaws 440-2783
last updated: 03/08/2006
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Debt management service providers
Debt Management Service Provider Registration Application 440-4858
last updated: 08/02/2012
PDF  | Word 
Debt management service provider renewal application 440-2692
last updated: 08/02/2012
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Endowment care
Annual report - endowment care cemeteries 440-4016
last updated: 12/13/2007
PDF 
Endowment Care for Burial Vaults and Markers Penal Bond with Surety 440-3375
last updated: 12/13/2007
PDF  | Word 
Endowment Care for Crypts or Niches Penal Bond with Surety 440-3374
last updated: 12/13/2007
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Funeral and cemetery - Consumer Protection Fund
Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013
last updated: 01/19/2012
PDF  | Word 
Funeral and Cemetery Consumer Protection Trust Fund Claim for Restitution 440-4018
last updated: 06/07/2011
PDF  | Word 

Irreducible fund cemeteries
Irreducible fund cemetery annual report 440-2929
last updated: 03/01/2012
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Manufactured structures dealers
Irrevocable Letter of Credit 440-3485
last updated: 11/23/2011
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 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Master trustees
Master Trustee 2% Per Year Reporting Form 440-4957
last updated: 06/20/2013
PDF  | Word 
Master trustee annual report and registration renewal 440-4017
last updated: 01/18/2012
PDF  | Word 
Master trustee election to pay administrative fees & expenses from trust fund deposits 440-4955
last updated: 05/14/2014
PDF  | Word 
Master trustees registration application 440-4012
last updated: 06/30/2011
PDF  | Word 
Notice of appointment of successor depository or master trustee 440-3437
last updated: 04/11/2008
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Money transmitters
Bond agreement 440-3274
last updated: 03/08/2006
PDF 
Criminal background and credit check authorization 440-4912
last updated: 06/20/2014
PDF  | Word 
Deposit in lieu of security device 440-4603
last updated: 03/08/2006
PDF 
Initial application 440-3260
last updated: 05/12/2014
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 
Renewal application 440-3265
last updated: 11/06/2007
PDF  | Word 

Mortgage lenders
Affidavit and undertaking - no clients' trust account 440-2776
last updated: 02/08/2010
PDF  | Word 
Checklist for Determination of Qualification for Bona Fide Nonprofit Organization Status 440-4935
last updated: 08/16/2012
PDF  | Word 
Clients' trust account, notice of 440-2777
last updated: 02/08/2010
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 
Foreclosure Notice Form 440-4795
last updated: 07/03/2013
PDF  | Word 
Interest Rate Lock/Float Agreement 440-4828
last updated: 10/29/2010
PDF  | Word 
Investor Disclosure Information 440-4827
last updated: 08/20/2008
PDF  | Word 
Mortgage Lender Report of Limited Examination 440-0949
last updated: 12/11/2008
PDF  | Word 
Personnel Information Ledger 440-4826
last updated: 01/07/2010
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 
Surety bond form 440-2775
last updated: 02/08/2010
PDF  | Word 

Pawnbrokers
Annual report form 440-3371
last updated: 01/07/2014
PDF  | Word 
Application package 440-3232
last updated: 11/09/2012
PDF  | Word 
Criminal background and credit check authorization 440-4912
last updated: 06/20/2014
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Payday lending and title lending
Criminal background and credit check authorization 440-4912
last updated: 06/20/2014
PDF  | Word 
Payday / Title License Application Additional Location 440-4891
last updated: 03/21/2014
PDF  | Word 
Payday / Title Licensee Annual Report 440-4817
last updated: 05/12/2014
PDF  | Word 
Payday / Title Loan Initial License Application 440-4892
last updated: 09/23/2010
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 

Prearranged funeral plans (preneed certified providers)
Certified provider annual report and certification renewal 440-4014
last updated: 01/12/2012
PDF  | Word 
Certified provider application 440-4011
last updated: 06/20/2014
PDF  | Word 
Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013
last updated: 01/19/2012
PDF  | Word 
Notice of appointment of successor depository or master trustee 440-3437
last updated: 04/11/2008
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
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 dealers
Dual undertaking 440-2131
last updated: 03/08/2006
PDF 
Form U-4 NASAA form
last updated: 05/18/2009
PDF 
Form U-5 NASAA form
last updated: 09/24/2007
PDF 
Form U-5 Instructions NASAA form
last updated: 09/24/2007
PDF 
Non-FINRA Broker-Dealer Renewal Application 440-2785
last updated: 04/04/2011
PDF  | Word 
Oregon Broker-Dealer Affidavit 440-4861
last updated: 09/23/2009
PDF  | Word 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 
Registration for Resale, or Dealing and Trading 440-2203
last updated: 04/04/2011
PDF  | Word 
Trade/assumed name 440-2774
last updated: 03/08/2006
PDF  | Word 

Investment advisors
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: 05/18/2009
PDF 
Public Records Request 440-4871
last updated: 11/13/2009
PDF 
Representative/salesperson renewal 440-2118a
last updated: 01/16/2013
PDF  | Word 
Representative/salesperson termination 440-2118b
last updated: 09/20/2010
PDF  | Word 
Surety bond 440-2014
last updated: 03/08/2006
PDF 
Trade/assumed name 440-2774
last updated: 03/08/2006
PDF  | Word 

Investor information program
Need a speaker? Call the investor information program On-line form or PDF 

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: 05/18/2009
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 
Registration for Resale, or Dealing and Trading 440-2203
last updated: 04/04/2011
PDF  | Word 
Representative/salesperson renewal 440-2118a
last updated: 01/16/2013
PDF  | Word 
Representative/salesperson termination 440-2118b
last updated: 09/20/2010
PDF  | Word 
Solicitation of Interest 440-3008
last updated: 12/01/2009
PDF  | Word 
Stock Escrow Agreement 440-3438
last updated: 11/14/2007
PDF