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.
| Title | Form # | Forms | Rev. Date |
|---|
| Application for authority to organize a state bank | 440-2208 |
PDF | 01/8/2016 |
| Confidential biographical and financial report | 440-2070 |
PDF
Word | 01/8/2016 |
| Designation of registered agent and/or office | 440-4009 |
PDF | 01/8/2016 |
| Public Records Request | 440-4871 |
PDF | 02/2022 |
| Request for a certificate of name compliance | 440-4867 |
PDF
| 04/21/2016 |
| Special qualifications registration | 440-2042 |
PDF | 01/8/2016 |
| Trust company application | 440-4008 |
PDF | 01/8/2016 |
| Title | Form # | Forms | Rev. Date |
|---|
| Check-cashing annual report | 440-4803 |
PDF | 02/2022 |
| Reporte Anual de Cambio de Cheques | 440-4803s |
PDF
| 02/2022
|
| Check-cashing business - additional location application | 440-4770 440-4770s
(Español) |
PDF
PDF
| 04/2021
|
Check-cashing business initial license application
| 440-4771 |
PDF
Word
Español
PDF
| 02/20/2020
Español: 02/2022 |
| Check-cashing business license amendment application (A licensed check cashing business may use this form to make changes to the information on file with the division) | 440-5470
|
PDF
Word
| 02/20/2020
|
| Criminal background and credit check authorization | 440-4912 |
PDF
Word | 03/16/2017 |
| Public Records Request | 440-4871 |
PDF | 02/2022 |
| Title | Form # | Forms | Rev. Date |
|---|
| Irrevocable Letter of Credit | 440-4881 |
PDF
| 02/2022
|
| Public Records Request | 440-4871 |
PDF | 02/2022
|
| Request for Waiver - Oregon Collection Agency Registration | 440-5218 |
PDF | 03/2021
|
| Oregon Licensing Notice | 440-5434 |
PDF | 07/2019 |
Consumer finance companies
| Title | Form # | Forms | Rev. Date |
|---|
| Consumer Finance Licensee Annual Report | 440-4818 |
PDF | 03/2021
|
| Criminal background and credit check authorization - Short form | 440-5198 |
PDF
Word | 03/16/2017 |
| Public Records Request | 440-4871 |
PDF | 02/2022 |
| Oregon Licensing Notice | 440-5434 |
PDF | 07/2019 |
| Title | Form # | Forms | Rev. Date |
|---|
| Branch application and checklist | 440-2784 |
PDF
Word | 01/8/2016 |
| Bylaw amendment | 440-2780 |
PDF
Word | 01/8/2016 |
| Change of location | 440-2779 | PDF
Word | 01/08/2016 |
| Change of registered office and/or agent | 440-2781 | PDF
Word | 01/08/2016 |
| Change to list of officials | 440-2935 | PDF
Word | 01/08/2016 |
| List of officials | 440-2782 | PDF
Word | 01/08/2016 |
| Model bylaws | 440-2783 | PDF
Word | 03/08/2006 |
| Public Records Request | 440-4871 | PDF | 02/2022 |
| Title |
Form # |
Forms |
Rev. Date |
|---|
| Attestation for Reduced Errors and Omissions Insurance Oregon Debt Buyer License |
440-5343 |
PDF
Word |
10/2017 |
| Oregon Licensing Notice |
440-5434 |
PDF |
07/2019 |
| Title | Form # | Forms | Rev. Date |
|---|
| Annual report - endowment care cemeteries | 440-4016 |
PDF | 02/2022 |
| Endowment Care for Burial Vaults and Markers Penal Bond with Surety | 440-3375 |
PDF | 02/2022 |
| Endowment Care for Crypts or Niches Penal Bond with Surety | 440-3374 |
PDF
| 01/8/2016 |
| Public Records Request | 440-4871 |
PDF | 02/8/2016 |
Manufactured structures dealers
| Title | Form # | Forms | Rev. Date |
|---|
| Irrevocable Letter of Credit | 440-3485 |
PDF
| 02/2022
|
| Limited Manufactured Structures Dealer License Application | 440-2965 |
PDF
| 02/2022 |
| Manufactured Structures Dealer and Limited Manufactured Structures Dealer License Correction Application | 440-2964 |
PDF
| 02/2022 |
| Manufactured Structures Dealer and Limited Manufactured Structures Dealer Surety Bond | 440-2966 |
PDF
Word | 05/09/2017 |
| Manufactured StructuresDealer License Application | 440-2962 |
PDF
| 02/2022 |
| Manufactured Structures Dealer Supplemental License Application | 440-2963 |
PDF
| 02/2022 |
| Manufactured Structures License Report of Examination | 440-3498 |
PDF
| 02/2022 |
| Public Records Request | 440-4871
|
PDF
| 02/2022
|
| Manufactured Structures Dealer License Renewal Application | 440-5454 |
PDF
| 11/16/2021
|
| Limited Manufactured Structures Dealer License Renewal Application | 440-5455 |
PDF
Word | 10/23/2019 |
| Title | Form # | Forms | Rev. Date |
|---|
| Criminal background and credit check authorization | 440-4912 |
PDF
Word | 03/16/2017 |
| Master Trustee 2% Per Year Reporting | 440-4957 |
PDF
Word | 01/11/2016 |
| Master trustee annual report and registration renewal | 440-4017 |
PDF
| 02/2022 |
| Master trustee election to pay administrative fees & expenses from trust fund deposits | 440-4955 |
PDF
| 02/2022
|
| Master trustees registration application | 440-4012 |
PDF
| 02/2022
|
| Notice of appointment of successor depository or master trustee | 440-3437 |
PDF
| 02/2022
|
| Public Records Request | 440-4871 |
PDF | 02/2022
|
| Title | Form # | Forms | Rev. Date |
|---|
| Deposit in lieu of security device | 440-4603 |
PDF | 02/2022
|
| Public Records Request | 440-4871 |
PDF | 02/2022 |
| Title | Form # | Forms | Rev. Date |
|---|
| Affidavit and undertaking - no clients’ trust account | 440-2776 |
PDF
| 05/12/2017 |
| Annual Recertification of Bona Fide Nonprofit Organization | 440-4990 |
PDF | 09/11/2019 |
| Balance sheet and income statement | 440-5370 |
PDF
Word | 04/11/2018 |
| Checklist for Determination of Qualification for Bona Fide Nonprofit Organization Status | 440-4935 |
PDF
| 02/2022 |
| Clients’ trust account, notice of | 440-2777 |
PDF
| 02/2022 |
| Examination - loan worksheet | 440-3369 |
PDF
| 02/2022 |
| Examination report | 440-3368 |
PDF
| 02/2022 |
| Foreclosure Notice Form | 440-4795 |
PDF
Word | 07/03/2013 |
| Interest Rate Lock/Float Agreement | 440-4828 |
PDF
| 02/2022
|
| Investor Disclosure Information | 440-4827 |
PDF
| 02/2022
|
| Mortgage Servicer Irrevocable Letter of Credit | 440-5227 |
PDF
Word | 08/2017 |
| Oregon Licensing Notice | 440-5434 |
PDF | 07/2019 |
| Personnel Information Ledger | 440-4826 | Excel | 06/2021 |
| Public Records Request | 440-4871 |
PDF | 02/2022
|
| Title | Form # | Forms | Rev. Date |
|---|
| Annual report form | 440-3371 |
PDF
Word | 12/13/2019 |
| Application package | 440-3232 | PDF
Word | 12/13/2019 |
| Application amendment | 440-5463 | PDF
Word | 12/13/2019 |
| Criminal background and credit check authorization | 440-4912 | PDF
Word | 03/16/2017 |
| Public Records Request | 440-4871 | PDF | 02/2022 |
Payday lending and title lending
| Title |
Form # |
Forms |
Rev. Date |
|---|
| Criminal background and credit check authorization - Long form |
440-4912 |
PDF
Word |
03/16/2017 |
| Criminal background and credit check authorization - Short form |
440-5198 |
PDF
Word |
03/16/2017 |
| Payday / Title Licensee Annual Report |
440-4817 |
PDF
Word |
05/2017 |
| Public Records Request |
440-4871 |
PDF |
02/2022 |
| Oregon Licensing Notice |
440-5434 |
PDF |
07/2019 |
Prearranged funeral plans (preneed certified providers)
| Title | Form # | Forms | Rev. Date |
|---|
| Certified provider annual report and certification renewal | 440-4014 |
PDF
| 02/2022 |
| Certified provider application | 440-4011 |
PDF
| 02/2022 |
| Endowment Care for Burial Vaults and Markers Penal Bond with Surety | 440-3375 |
PDF | 02/2022 |
| Endowment Care for Crypts or Niches Penal Bond with Surety | 440-3374 |
PDF | 02/2022 |
| Funeral and Cemetery Consumer Protection Trust Fund Annual Report | 440-4013 |
PDF
| 02/2022 |
| Funeral and Cemetery Consumer Protection Trust Fund Claim for Restitution | 440-4018 |
PDF
| 02/2022 |
| Notice of appointment of successor depository or master trustee | 440-3437 |
PDF
| 02/2022 |
| Public Records Request | 440-4871 |
PDF | 02/2022
|
Securities
Note: The forms listed below are specific to Oregon. For additional required forms, please visit the NASAA or SEC websites.
| Title | Form # | Forms | Rev. Date |
|---|
Personal balance sheet and income statement
| 440-5515 |
PDF | 12/2020
|
| Dual undertaking | 440-2131 |
PDF | 04/18/2017 |
| Non-FINRA Broker-Dealer Renewal Application | 440-2785 |
PDF | 10/26/2020
|
| Oregon Broker-Dealer Affidavit | 440-4861 |
PDF
Word | 01/11/2016 |
| Public Records Request | 440-4871 |
PDF | 02/2022 |
| Registration for Resale, or Dealing and Trading | 440-2203 |
PDF
Word | 01/11/2016 |
| Trade/assumed name | 440-2774 |
PDF | 12/2020
|
| Title | Form # | Forms | Rev. Date |
|---|
| Annual financial statement reporting | |
Excel | |
| Attestation of Errors and Omissions Insurance | 440-5379 |
PDF | 03/2022 |
| Personal balance sheet and income statement | 440-5515 |
PDF | 12/2020
|
| Dual undertaking | 440-2131 |
PDF | 04/18/2017 |
| Public Records Request | 440-4871 |
PDF | 02/2022 |
| Surety bond | 440-5650 |
PDF | 03/2022
|
| Trade/assumed name | 440-2774 |
PDF | 12/2020
|
| Title | Form # | Forms | Rev. Date |
|---|
| Certain Compensatory Benefit Plans | 440-5180 |
PDF | 02/2021 |
| Oregon form | 440-2013 |
PDF
Word
| 01/11/2016 |
| Oregon Intrastate Offering Exemption | 440-5001 |
PDF
Word | 01/11/2016 |
| Oregon Interstate Offering Final Sales Report | 440-5353 |
PDF
Word | 12/2017 |
| Proceeds Escrow Agreement | 440-3517 |
PDF | 01/11/2016 |
| Registration for Resale, or Dealing and Trading | 440-2203 |
PDF
Word | 01/11/2016 |
| Representative/salesperson renewal | 440-2118a |
PDF | 10/26/2020 |
| Representative/salesperson termination | 440-2118b |
PDF
Word | 01/11/2016 |
| Solicitation of Interest | 440-3008 |
PDF
Word | 01/11/2016 |
| Stock Escrow Agreement | 440-3438 |
PDF | 01/11/2016 |