The Oregon Investment Adviser Renewal Application is a form used by investment advisers registered or required to be registered in the state of Oregon to renew their registration. It is an annual process that must be completed in order to maintain a valid registration with the state. The application requires information about the investment adviser's business, financial records, and other related information. There are three types of Oregon Investment Adviser Renewal Applications: Initial Registration, Renewal, and Change of Ownership. The Initial Registration is used to apply for registration with the state, while the Renewal is completed annually. The Change of Ownership Application is used to update the state of any changes to the ownership of the investment advisory firm. All applications must be submitted in accordance with Oregon's investment adviser regulation and renewal requirements.
Oregon Investment Adviser Renewal Application
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How to fill out Oregon Investment Adviser Renewal Application?
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Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator.
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Investment adviser licensing and exams Complete and submit Form ADV. Pay a fee ($200 annually). Provide a surety bond in the amount of $10,000. Submit a copy of any proposed contract with clients, and financial statements required by Oregon Administrative Rule 441-175-0100.
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