Non Finra Broker Dealer Renewal Application {440-2785} | Pdf Fpdf Docx | Oregon

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Non Finra Broker Dealer Renewal Application {440-2785} | Pdf Fpdf Docx | Oregon

Last updated: 2/16/2024

Non Finra Broker Dealer Renewal Application {440-2785}

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Description

440-2785 - NON-FINRA BROKER-DEALER RENEWAL APPLICATION ORS 59.185. This form is used by the Oregon Department of Consumer and Business Services Division of Financial Regulation. It is used by non-FINRA broker-dealer firms to apply for the renewal of their license in Oregon. The form collects information about the licensee, contact person, supervisor of operations in Oregon, and financial statements filing status with the SEC. The applicant must verify the accuracy of the information provided under penalty of perjury. Additionally, it provides options for payment methods, including credit card, and instructions for submission. www.FormsWorkflow.com

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