Form 440-2131 "Dual Undertaking" - Oregon

What Is Form 440-2131?

This is a legal form that was released by the Oregon Department of Consumer and Business Services - a government authority operating within Oregon. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on April 1, 2017;
  • The latest edition provided by the Oregon Department of Consumer and Business Services;
  • Easy to use and ready to print;
  • Quick to customize;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a printable version of Form 440-2131 by clicking the link below or browse more documents and templates provided by the Oregon Department of Consumer and Business Services.

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Download Form 440-2131 "Dual Undertaking" - Oregon

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Oregon Department of Consumer and Business Services
Division of Financial Regulation
350 Winter St. NE, Room 410, Salem, Oregon 97301-3881
Mailing address: P.O. Box 14480, Salem, OR 97309-0405
503-378-4140 • Fax: 503-947-7862
dfr.oregon.gov
In the matter of the licensing of a securities sales
Dual Undertaking
person or investment advisor representative by two
or more firms
The undersigned firms desire to license
Individual’s CRD number
Name of sales person or investment advisor representative
as a salesperson or investment advisor representative to represent them in Oregon. In recognition that the
director of the Department of Consumer and Business Services requires certain undertakings by the firms, the
undersigned firms undertake as follows:
1. Each consents to the licensing of the individual by each of the other undersigned firms.
2. Each assumes joint and several liability with the other firms for any act or omission of the individual in violation
of Oregon securities law or of any rule or order promulgated pursuant to Oregon securities law during the period
of licensing.
3. Each agrees to license the individual with the Securities Section of the Department of Consumer and Business
Services and to pay the licensing fee.
4. Each acknowledges this undertaking as an addendum to all prior undertakings filed with the director of the
Department of Consumer and Business Services.
The undersigned, under penalty of perjury, declare that each occupies the official position indicated and is authorized
to sign this document on behalf of the firm.
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
FOR OFFICE USE ONLY: Examiner: ______________________ Effective date:_______________
Dual Undertaking
440-2131 (4/17/COM)
Oregon Department of Consumer and Business Services
Division of Financial Regulation
350 Winter St. NE, Room 410, Salem, Oregon 97301-3881
Mailing address: P.O. Box 14480, Salem, OR 97309-0405
503-378-4140 • Fax: 503-947-7862
dfr.oregon.gov
In the matter of the licensing of a securities sales
Dual Undertaking
person or investment advisor representative by two
or more firms
The undersigned firms desire to license
Individual’s CRD number
Name of sales person or investment advisor representative
as a salesperson or investment advisor representative to represent them in Oregon. In recognition that the
director of the Department of Consumer and Business Services requires certain undertakings by the firms, the
undersigned firms undertake as follows:
1. Each consents to the licensing of the individual by each of the other undersigned firms.
2. Each assumes joint and several liability with the other firms for any act or omission of the individual in violation
of Oregon securities law or of any rule or order promulgated pursuant to Oregon securities law during the period
of licensing.
3. Each agrees to license the individual with the Securities Section of the Department of Consumer and Business
Services and to pay the licensing fee.
4. Each acknowledges this undertaking as an addendum to all prior undertakings filed with the director of the
Department of Consumer and Business Services.
The undersigned, under penalty of perjury, declare that each occupies the official position indicated and is authorized
to sign this document on behalf of the firm.
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
Firm name:
CRD No.
Signator’s name:
Title:
Signature:
Date:
FOR OFFICE USE ONLY: Examiner: ______________________ Effective date:_______________
Dual Undertaking
440-2131 (4/17/COM)