Corporate & Securities Law

By Jim Hamilton

Oregon Proposes Fee Increases for UITs, BDs and Salespersons

The following fee increases were proposed by the Oregon Division of Finance and Corporate Securities:

* Unit Investment Trusts: Initial and Renewal Notice Filing Fee Per Portfolio, $500 (from $350)

* Broker-Dealers: Renewal License Fee, $250 (from $200)

* Broker-Dealer Salespersons: Initial License Fee, $55 (from $50)

In addition, state investment advisers would apply for licensing through the Investment Adviser Registration Depository (IARD).

For more information about the proposed rules, please contact the rules coordinator, Shelley Greiner at (503) 947-7484.

Full post as published by Jim Hamilton's World of Securities Regulation on May 12, 2010 (boomark / email).