Oregon Administrative Rules
Chapter 441 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, FINANCE AND SECURITIES REGULATION
Division 65 - REGISTRATION OF SECURITIES
Section 441-065-0221 - Application and Information Requirements for a SOAR Offering
Universal Citation: OR Admin Rules 441-065-0221
Current through Register Vol. 63, No. 9, September 1, 2024
(1) An application to register securities filed under the SOAR Offering shall include the following:
(a) A completed Form 440-2013 (a
form for the registration of limited or non-public offerings);
(b) A copy of the written disclosure
materials required by OAR
441-065-0222;
(c) A non-refundable registration fee as set
in OAR 441-065-0001;
(d) Unless the offering is being sold through
a licensed broker-dealer or by a person exempt from the licensing requirements,
at least one completed salesperson application on FINRA Form U-4 and a per
person non-refundable license fee as set in OAR
441-175-0002;
(e) An escrow, or similar arrangement,
agreement;
(f) Pro forma financial
statements that include a description and documentation of any material
assumptions and demonstrate when the issuer expects to be profitable;
and
(g) Any additional or
supplementary materials requested by the Director.
Statutory/Other Authority: ORS 59.065, 59.085 & 59.285
Statutes/Other Implemented: ORS 59.065 & 59.085
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