The Oregon Broker-Dealer Affidavit is a document that must be completed and submitted to the Oregon Division of Financial Regulation by all applicants for broker-dealer registration in the state of Oregon. The affidavit must be signed and dated by the applicant and notarized. It must include information about the applicant's business and its ownership, the applicant's credentials and experience, and the applicant's compliance with Oregon laws and regulations. The affidavit also serves as a binding agreement between the applicant and the Oregon Division of Financial Regulation. There are three main types of Oregon Broker-Dealer Affidavit: the Standard Broker-Dealer Affidavit, the Limited Broker-Dealer Affidavit, and the Interstate Broker-Dealer Affidavit. The Standard Broker-Dealer Affidavit is the most comprehensive and covers the widest range of topics. The Limited Broker-Dealer Affidavit is for applicants who only deal in limited types of investments, such as government securities or commodities. Lastly, the Interstate Broker-Dealer Affidavit is for applicants who plan to do business in multiple states.
Oregon Broker-Dealer Affidavit
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How to fill out Oregon Broker-Dealer Affidavit?
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