Or. Admin. Code § 340-273-0590 - Recordkeeping Requirements Related to Trading
(1) A covered entity that transfers one or
more compliance instruments in a trade according to OAR 340-273-0510 must
retain the following records related to each trade, in paper or electronic
format for a period of at least seven years following the submission date of a
complete compliance instrument trade form:
(a) A copy of each compliance instrument
trade form submitted to DEQ;
(b) A
copy of any invoice or documentation of monetary payment received related to
the trade;
(c) A statement from a
financial institution showing receipt of any payment for the compliance
instrument;
(d) Documentation of
any service or other qualitative compensation received related to the trade;
and
(e) A copy of all other data,
reports, or other information related to the trade.
(2) A covered entity that acquires one or
more compliance instruments in a trade according to OAR 340-273-0510 must
retain the following records related to each trade, in paper or electronic
format for a period of at least seven years following the submission date of a
complete compliance instrument trade form:
(a) A copy of each compliance instrument
trade form submitted to DEQ;
(b) A
copy of any invoice or documentation of monetary payment related to the
trade;
(c) A statement from a
financial institution showing any payment for the compliance
instrument;
(d) Documentation of
any service or other qualitative compensation provided related to the trade;
and
(e) A copy of all other data,
reports, or other information related to the trade.
(3) Covered entities must make the records
retained according to this rule available to DEQ upon request. DEQ will specify
the date by which the covered entity must fulfill a records request from
DEQ.
Notes
Statutory/Other Authority: ORS 468.020, 468A.025, 468A.040 & 468A.050
Statutes/Other Implemented: ORS 468.020, 468A.025, 468A.040, 468A.050, 468.035, 468A.010, 468A.015 & 468A.045
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