Oregon Investor Certification Form
Description
How to fill out Investor Certification Form?
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FAQ
Each person engaged in the investment banking or securities business of a member shall be registered with FINRA as a representative or principal in each category of registration appropriate to his or her functions and responsibilities as specified in Rule 1220, unless exempt from registration pursuant to Rule 1230.
Prospective stockbrokers must obtain passing scores on the Series 7 product exam as well as on either the Series 63 or Series 66 state law exam. Employment with an Oregon-licensed broker-dealer firm is also required. All securities salespersons must fulfill NASAA and FINRA continuing education requirements.
The Oregon Securities Law is unique among state ?blue sky? securities laws because it imposes liability in favor of the purchaser of a security against ?every person who participates or materially aids? in the unlawful sale of a security.
Exemptions. As noted, the Oregon securities law exempts certain securities and securities transactions from the securities registration requirements. This can include private offerings to a limited number of people, private offerings to high net-worth individuals, or highly sophisticated purchasers.
Hear this out loud PausePay 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. The firm must also have at least one investment adviser licensed under the Oregon securities laws.