OAR 441-035-0110
Required Filings

(1)(a) Not less than fifteen (15) days prior to any advertising, offer, or sale, whichever comes first, of any OIO security, the issuer shall file a notice with the Director, in writing, that it plans to conduct an OIO and pay a $200 filing fee.

(b) Filing requirements may be met by submitting a form approved by the Director or through individual submission of all the information required by the rule.

(c) “Offer” includes every attempt to dispose of an OIO security for value. The publication of any information and statements, and publicity efforts — including any advertising materials — in advance of or in connection with an OIO that contributes to the conditioning of the public mind or arousing public interest in the issuer or is intended to arouse public interest investing in the issuer or purchasing its securities — even though it does not contain an express “offer” — is an “offer” of OIO securities for the purposes of this exemption.

(2) The notice shall contain the following:

(a) The name(s) and address of the issuer and of all officers, directors, principals, managing partners and shareholders of the Oregon business possessing a 20% interest or more, or persons holding a substantially similar position.

(b) A copy of any proposed advertising template, including a URL if a website will be used in connection with the offering, and name of the third party platform provider, if applicable;

(d) The minimum amount needed to release funds to the Issuer and maximum amount of the offer;

(e) A copy of the offering documents and sample of the certificate or other evidence of the security;

(f) A form approved by the Director verifying that the issuer has met in person with a business technical service provider and reviewed the relevant business plan as required by OAR 441-035-0090 (Requirements for Exemption From Securities Registration)(7), or waiver approval under OAR 441-035-0240 (Waivers).

(3) The $200 filing fee, which will be used to defray the costs incurred in administering and enforcing these rules, must be made payable to the Department of Consumer and Business Services.

(4) The filing must be signed by the issuer or a duly authorized representative of the issuer certifying that the issuer has verified the material accuracy and completeness of the filing.

(5) An issuer must update its notice upon a material change to the offering such as changes in ownership, changes to the disclosure documents, or changes to the advertising template under OAR 441-035-0130 (Advertising). Upon submitting an updated notice an issuer must also notify any existing investors of the material changes.

Source: Rule 441-035-0110 — Required Filings, https://secure.sos.state.or.us/oard/view.action?ruleNumber=441-035-0110.

441–035–0005
Self-Executing Transaction Exemptions 441–035–0010
Accredited Investor 441–035–0020
Transactions Ineligible Under ORS 59.035(7) Exemption 441–035–0021
Disclosure Requirements for Real Estate Paper Transactions Exempt Under ORS 59.035(7) 441–035–0030
Manual Exemption 441–035–0045
Solicitation of Interest for Offering of Securities Pursuant to SEC Regulation A 441–035–0050
Isolated Issuer Transaction 441–035–0060
Offers of Securities on the Internet 441–035–0070
Policy and Purpose of the Oregon Intrastate Offering Exemption (OIO) 441–035–0080
Definitions 441–035–0090
Requirements for Exemption From Securities Registration 441–035–0100
Resale Limitations 441–035–0110
Required Filings 441–035–0120
Required Disclosures 441–035–0125
Reporting 441–035–0130
Advertising 441–035–0140
Use of Internet General Requirements 441–035–0160
Use of the Internet by Third Party Platform Providers 441–035–0170
Prohibited Offerings 441–035–0180
Prohibition on Commissions, Fees and Other Remuneration 441–035–0190
Integration 441–035–0210
Bad Actor Disqualification 441–035–0220
Records 441–035–0230
Burden of Proof 441–035–0240
Waivers 441–035–0300
Certain Compensatory Benefit Plans

California:	Codes
Colorado:	C.R.S.
Nevada:	NRS
New York:	Laws
Oregon:	OAR, ORS
Texas:	Statutes
World:	Rome Statute, International Dictionary

OAR 441-035-0110 Required Filings

OAR 441-035-0110
Required Filings