- 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.
