Oregon Administrative Rules
Chapter 441 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, FINANCE AND SECURITIES REGULATION
Division 49 - NOTICE FILINGS FOR FEDERAL COVERED SECURITIES
Section 441-049-1041 - Offering to Qualified Purchaser, Federally Exempt Securities and Federally Exempt Transactions
Universal Citation: OR Admin Rules 441-049-1041
Current through Register Vol. 63, No. 9, September 1, 2024
(1) Except as provided in section (2) of this rule, an issuer offering a security that is a covered security under section 18(b)(3) or (4), other than sections 18(b)(4)(C) or 18(b)(4)(E), of the Securities Act of 1933, as amended, shall:
(a) File a written notice of such offering
identifying the issuer and seller if other than the issuer; and
(b) Pay a fee as set in OAR
441-049-1001.
(2) An issuer offering a security that is a variable annuity is exempt from notice filing and the fee requirements under ORS 59.049 and OAR 441-049-1001 provided the security is:
(a) A covered security under
section 18(b)(4) by virtue of being an exempted security under section 3(a)(8)
of the Securities Act of 1933; and
(b) In a form filed with and approved by the
Director of the Department of Consumer and Business Services under the Oregon
Insurance Code.
Statutory/Other Authority: ORS 59.049 & 17 CFR § 227
Statutes/Other Implemented: ORS 59.049
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