Financial industry

Finance

Portable document format (PDF): PDFs need to be printed first, then completed, and mailed to the Division for processing. If you are unable to open one, please download Acrobat Reader from Adobe.

MS Word (Word): If you have MS Word you can fill it in, print it, and mail it to the Division for processing.

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

Application for authority to organize a state bank 440-2208 last updated: 01/08/2016 PDF   

Confidential biographical and financial report 440-2070 last updated: 01/08/2016 PDF | Word  

Designation of registered agent and/or office 440-4009 last updated: 01/08/2016 PDF   

Public Records Request 440-4871 last updated: 02/08/2016 PDF   

Request for a certificate of name compliance 440-4867 last updated: 04/21/2016 PDF | Word  

Special qualifications registration 440-2042 last updated: 01/08/2016 PDF   

Trust company application 440-4008 last updated: 01/08/2016 PDF​

Check-cashing annual report 440-4803 last updated: 01/06/2016  PDF | Word  

Reporte Anual de Cambio de Cheques 440-4803s last updated: 01/06/2016  PDF | Word​ ​​​​​​​​

Check-cashing business additional license application (for businesses with a current consumer finance, pawnbroker, or consumer finance license) 440-4770 last updated: 01/06/2016  PDF | Word; Español​ 440-4770s last updated: 06/02/2016  PDF | Word​

Check-cashing business initial license application (for businesses without a current consumer finance, pawnbroker, or check cashing license) 440-4771 last updated: 01/06/2016  PDF | Word

Criminal background and credit check authorization 440-4912 last updated: 05/25/2016  PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF   ​​

Criminal background and credit check authorization, last updated: 03/16/2017
  Long form 440-4912 PDF | Word
  Short form 440-5198 for use only with licenses/registrations submitted through the NMLS PDF | Word

Irrevocable Letter of Credit 440-4881last updated: 06/28/2010 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF

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Consumer Finance Licensee Annual Report 440-4818 last updated: 05/2017 PDF | Word  

Criminal background and credit check authorization, last updated: 03/16/2017
  Long form 440-4912 PDF | Word
  Short form 440-5198 for use only with licenses/registrations submitted through the NMLS PDF | Word

Public Records Request 440-4871 last updated: 02/08/2016 PDF​ ​​​​

Branch application and checklist 440-2784 last updated: 01/08/2016 PDF | Word  

Bylaw amendment 440-2780 last updated: 01/08/2016 PDF | Word  

Change of location 440-2779 last updated: 01/08/2016 PDF | Word  

Change of registered office and/or agent 440-2781 last updated: 01/08/2016 PDF | Word  

Change to list of officials 440-2935 last updated: 01/08/2016 PDF | Word  

List of officials 440-2782 last updated: 01/08/2016 PDF | Word  

Model bylaws 440-2783 last updated: 03/08/2006 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF​ 

Criminal background and credit check authorization, last updated: 03/16/2017
  Long form 440-4912 PDF | Word
  Short form 440-5198 for use only with licenses/registrations submitted through the NMLS PDF | Word

Public Records Request 440-4871 last updated: 02/08/2016 PDF ​​​

Annual report - endowment care cemeteries 440-4016 last updated: 01/08/2016 PDF   

Endowment Care for Burial Vaults and Markers Penal Bond with Surety 440-3375 last updated: 01/08/2016 PDF | Word  

Endowment Care for Crypts or Niches Penal Bond with Surety 440-3374 last updated: 01/08/2016 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF​

Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013 last updated: 01/08/2016 PDF | Word  

Funeral and Cemetery Consumer Protection Trust Fund Claim for Restitution 440-4018 last updated: 01/08/2016 PDF | Word​ ​

Irreducible fund cemetery annual report 440-2929 last updated: 01/08/2016 PDF  | Word  
Public Records Request 440-4871 last updated: 02/08/2016 PDF​ ​

Irrevocable Letter of Credit 440-3485 last updated: 01/11/2016 PDF | Word  

Limited Manufactured Structures Dealer License Application 440-2965 last updated: 01/11/2016 PDF | Word  

Manufactured Structures Dealer and Limited Manufactured Structures Dealer License Correction Application 440-2964 last updated: 01/11/2016 PDF | Word  ​

Manufactured Structures Dealer and Limited Manufactured Structures Dealer Surety Bond 440-2966 last updated: 05/09/2017 PDF | Word

Manufactured StructuresDealer License Application 440-2962 last updated: 01/11/2016 PDF |Word

Manufactured Structures Dealer Supplemental License Application 440-2963 last updated: 01/11/2016 PDF | Word  

Manufactured Structures License Report of Examination 440-3498 last updated: 01/11/2016 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF​ ​​​​​​​

Criminal background and credit check authorization 440-4912 last updated 5/25/2016 PDF | Word​

Master Trustee 2% Per Year Reporting Form 440-4957 last updated: 01/11/2016 PDF | Word  

Master trustee annual report and registration renewal 440-4017 last updated: 01/11/2016 PDF | Word  

Master trustee election to pay administrative fees & expenses from trust fund deposits 440-4955 last updated: 01/11/2016 PDF | Word  

Master trustees registration application 440-4012 last updated: 01/11/2016 PDF | Word  

Notice of appointment of successor depository or master trustee 440-3437 last updated: 01/11/2016 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF​

Criminal background and credit check authorization, last updated: 03/16/2017
  Long form 440-4912 PDF | Word
  Short form 440-5198 for use only with licenses/registrations submitted through the NMLS PDF | Word

Deposit in lieu of security device 440-4603 last updated: 01/11/2016 PDF

Public Records Request 440-4871 last updated: 02/08/2016 PDF

Affidavit and undertaking - no clients' trust account 440-2776 last updated: 05/12/2017 PDF | Word

Annual Recertification of Bona Fide Nonprofit Organization 440-4990 last updated: 01/06/2016 PDF

Checklist for Determination of Qualification for Bona Fide Nonprofit Organization Status 440-4935 last updated: 01/06/2016 PDF | Word

Clients' trust account, notice of 440-2777 last updated: 01/06/2016 PDF | Word

Examination - loan worksheet 440-3369 last updated: 01/06/2016 PDF | Word

Examination report 440-3368 last updated: 02/03/2016 PDF | Word

Foreclosure Notice Form 440-4795 last updated: 07/03/2013 PDF | Word

Interest Rate Lock/Float Agreement 440-4828 last updated: 11/16/2015 PDF | Word

Investor Disclosure Information 440-4827 last updated: 08/20/2008 PDF | Word

Mortgage Lender Report of Limited Examination 440-0949 last updated: 01/06/2016 PDF | Word

Personnel Information Ledger 440-4826 last updated: 01/07/2010 PDF | Word

Public Records Request 440-4871 last updated: 02/08/2016 PDF

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Annual report form 440-3371 last updated: 01/06/2016 PDF | Word  

Application package 440-3232 last updated: 01/06/2016 PDF | Word  

Criminal background and credit check authorization 440-4912 last updated: 05/25/2016 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF​ 

Criminal background and credit check authorization, last updated: 03/16/2017
  Long form 440-4912 PDF | Word
  Short form 440-5198 for use only with licenses/registrations submitted through the NMLS PDF | Word

Payday / Title Licensee Annual Report 440-4817 last updated: 05/2017 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF

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Certified provider annual report and certification renewal 440-4014 last updated: 02/17/2017 PDF | Word  

Certified provider application 440-4011 last updated: 01/11/2016 PDF | Word  

Endowment Care for Burial Vaults and Markers Penal Bond with Surety 440-3375 last updated: 01/08/2016 PDF | Word  

Endowment Care for Crypts or Niches Penal Bond with Surety 440-3374 last updated: 01/08/2016 PDF | Word  ​

Funeral and Cemetery Consumer Protection Trust Fund Annual Report 440-4013 last updated: 01/08/2016 PDF | Word 

Funeral and Cemetery Consumer Protection Trust Fund Claim for Restitution 440-4018 last updated: 01/08/2016 PDF | Word​ ​​ 

Notice of appointment of successor depository or master trustee 440-3437 last updated: 01/11/2016 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF​ ​​​

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Securities

Note: The forms listed below are specific to Oregon. For additional required forms, please visit the NASAA or SEC websites. ​

Dual undertaking 440-2131 last updated: 04/18/2017 PDF   

Non-FINRA Broker-Dealer Renewal Application 440-2785 last updated: 01/11/2016 PDF | Word  

Oregon Broker-Dealer Affidavit 440-4861 last updated: 01/11/2016 PDF | Word  

Public Records Request 440-4871 last updated: 02/08/2016 PDF   

Registration for Resale, or Dealing and Trading 440-2203 last updated: 01/11/2016 PDF | Word  

Trade/assumed name 440-2774 last updated: 01/11/2016 PDF | Word​ 

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Dual undertaking 440-2131 last updated:04/18/2017 PDF   

Firm renewal 440-2306 last updated: 01/11/2016 PDF   

Public Records Request 440-4871 last updated: 02/08/2016 PDF   

Representative/salesperson renewal 440-2118a last updated: 01/11/2016 PDF | Word  

Representative/salesperson termination 440-2118b last updated: 01/11/2016 PDF | Word  

Surety bond 440-2014 last updated: 01/11/2016 PDF   

Trade/assumed name 440-2774 last updated: 01/11/2016 PDF | Word​ 

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Certain Compensatory Benefit Plans - Form 440-5180, last updated: 02/07/2017 PDF | Word

Oregon form 440-2013 last updated: 01/11/2016 PDF | Word  

Oregon Intrastate Offering Exemption 440-5001 last updated: 01/11/2016 PDF | Word  

Proceeds Escrow Agreement 440-3517 last updated: 01/11/2016 PDF   

Registration for Resale, or Dealing and Trading 440-2203 last updated: 01/11/2016 PDF | Word  

Representative/salesperson renewal 440-2118a last updated: 01/11/2016 PDF | Word  

Representative/salesperson termination 440-2118b last updated: 01/11/2016 PDF | Word  

Solicitation of Interest 440-3008 last updated: 01/11/2016 PDF | Word  

Stock Escrow Agreement 440-3438 last updated: 01/11/2016 PDF 

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