Or. Admin. Code § 441-065-0190 - Filings and Reports

(1) For offerings registered as a SOAR Offering, the Director may, as a condition of registration, require the issuer to file one or more sales reports.

(2) For offerings registered as a SCOR Offering, the issuer shall file the following reports with the Director:

(a) If the offering is made in reliance on Securities Act Rule 504(17 CFR § 230.504), a copy of any completed Form D that is filed with the Securities and Exchange Commission; or

(b) If the offering is not made in reliance on to Securities Act Rule 504(17 CFR § 230.504), a report on a form and at times specified by the Director as a condition of registration.

Notes

Or. Admin. Code § 441-065-0190

CC 9-1982(Temp), f. 4-7-82, ef. 4-15-82; CC 11-1982, f. 8-11-82, ef. 10-10-82; FCS 11-1988(Temp), f. & cert. ef. 6-2-88; Renumbered from 815-036-0065; FCS 15-1988, f. & ef. 11-21-88; FCS 4-1992, f. & cert. ef. 10-1-92; FCS 2-1998, f. & cert. ef. 4-30-98; FSR 5-2018, amend filed 04/26/2018, effective 5/1/2018

Publications: The publication(s) referred to or incorporated by reference in this rule are available from the agency.

The Form(s) referenced in this rule is not printed in the OAR Compilation. Copies are available from the agency.

Statutory/Other Authority: ORS 59.085

Statutes/Other Implemented: ORS 59.085