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. 3, March 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
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.
