Oregon Administrative Rules
Chapter 441 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, FINANCE AND SECURITIES REGULATION
Division 35 - SECURITIES TRANSACTIONS EXEMPT FROM REGISTRATION
Section 441-035-0220 - Records
Universal Citation: OR Admin Rules 441-035-0220
Current through Register Vol. 63, No. 9, September 1, 2024
The issuer shall maintain the following records for inspection by the Director for four (4) years from the date the OIO is completed.
(1) Any information the issuer, broker dealer, or salesperson collected and relied upon to determine the residency and income of an investor;
(2) Records relating to sales of securities following the close of the offering that are considered as part of the offering; and
(3) All disclosures, advertising, and materials used in connection with the sale of OIOs.
Statutory/Other Authority: ORS 59.035 & 17 CFR § 230.147A
Statutes/Other Implemented: ORS 59.035
Disclaimer: These regulations may not be the most recent version. Oregon may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
