Oregon Administrative Rules
Chapter 441 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, FINANCE AND SECURITIES REGULATION
Division 49 - NOTICE FILINGS FOR FEDERAL COVERED SECURITIES
Section 441-049-1051 - Rule 506 Offerings
Universal Citation: OR Admin Rules 441-049-1051
Current through Register Vol. 63, No. 3, March 1, 2024
A person offering a covered security under section 18(b)(4)(E) shall:
(1)
(a) File a notice on SEC Form D not later
than 15 days after the first sale of securities subject to the notice in
Oregon;
(b) For the purposes of
notice, submit to the director the aggregate amount offered in Oregon;
(A) An offering amount may be "Indefinite" if
the amount being offered is undetermined or cannot be calculated at the present
time, such as if the offering includes securities to be acquired upon the
exercise or exchange of other securities or property and the exercise price or
exchange value is not currently known or knowable.
(B) If an amount is definite but difficult to
calculate without unreasonable effort or expense, provide a good faith
estimate.
(2) Pay a fee as set in OAR 441-049-1001.
Forms referenced are available from the agency.
Stat. Auth: ORS 59.049 & 59.085
Stats. Implemented: ORS 59.049
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.
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