Oregon

  • General Requirements
    • Oregon is a merit review jurisdiction.
    • Filing fee equal to 1/10 of 1% of the amount offered in Oregon, with a minimum fee of $200 and a maximum of $1,500.
    • Oregon requires that registered offerings be sold through a licensed broker-dealer or through a representative of the issuer.  If sold through a representative of the issuer, then a Form U4 and payment of a licensing fee is also required.
    • Oregon does not allow for the electronic submission of securities registration application materials.
    • Solicitation of interest allowed. See OAR 441-035-0045 for the requirements.
    • Registered offerings must be renewed annually. Renewals should be submitted 30 days prior to the expiration of the current order of registration.
    • Fees should be made payable to the “Director, Department of Consumer and Business Services.” Payment should be sent to one of the following address:
Mailing Address: Courier Address:
Fiscal Services Section
Department of Consumer and
Business Services
P.O. Box 14610
Salem, OR 97309-0445
Department of Consumer and
Business Services
Division of Financial Regulation
350 Winter Street NE, Room 410
Salem, OR 97301-3881
  • Specific Filing Requirements
    • Form U1.
    • Registration statement.
    • Most recent prospectus
    • All governing documents, legal opinions, and material agreements.
    • Audited financial statements required for offerings greater than $1 million.
    • The Division retains the authority to request additional information.

For additional information, please contact the state securities regulator, or contact them at (503) 378-4140.

 

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