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Broker/dealer renewal licensing requirements (FINRA)

Renewal licensing for FINRA broker-dealer firms and their salespersons is automatic through the CRD system unless the firm has previously filed post-dated forms to terminate the licensing in Oregon effective upon the Dec. 31 expiration of the license(s).

Our office does not send out renewal notices. No renewal forms are required.

FINRA firms should be sure their CRD account has sufficient funds to cover the Oregon renewal fees of $250 for the firm and $55 for each salesperson being renewed.