Oregon Administrative Rules
Chapter 441 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, FINANCE AND SECURITIES REGULATION
Division 65 - REGISTRATION OF SECURITIES
Section 441-065-0015 - When Registration Application Deemed Abandoned
Universal Citation: OR Admin Rules 441-065-0015
Current through Register Vol. 63, No. 3, March 1, 2024
(1) For purposes of this rule, the term "application" includes all documents, information and fees prescribed for the registration of securities under ORS 59.065 and OAR 441, division 65.
(2) An application shall be deemed deficient when:
(a) Insufficient fees
have been paid and the Director has notified the applicant that the fees are
insufficient;
(b) Documents
required by the rules in OAR 441, division 65 have not been submitted by the
applicant;
(c) Additional
information requested by the Director as permitted by the rules in OAR 441,
division 65 has not been submitted to the Director by the applicant;
or
(d) Changes to disclosure
documents requested by the Director have not been submitted to the Director by
the applicant.
(3) An application for registration of securities is deemed abandoned if:
(a) The application has been on file for a
minimum of six (6) months;
(b) The
application is deficient; and
(c)
The applicant has failed to respond to the Director's written notice of warning
of abandonment within thirty (30) calendar days of the date of
warning.
(4) Fees paid in connection with an abandoned registration shall not be refunded.
(5) An applicant whose application has been abandoned may reapply by submitting a new application including new fees.
Stat. Auth.: ORS 59.285
Stats. Implemented: ORS 59.065
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