Oregon Department of Consumer and Business Services, Finance and Securities Regulation

Rule Rule 441-049-1001
Fees for Federal Covered Securities Notice Filings


Pursuant to ORS 59.049 (Federal covered securities exempt from registration), for new filings received on or after July 1, 2017 or renewal filings effective on or after July 1, 2017, the Director sets the following fees for notice filings for federal covered securities:

(1)

For an investment company, other than a unit investment trust, an initial filing fee of $545 and renewal notice filing fee of $535 per portfolio. Issuers may submit filings containing multiple portfolios, provided the portfolios are identified in the Form NF and correct fees are paid.

(2)

For a unit investment trust notice filing, an initial fee of $500 per portfolio and a renewal fee of $500 per portfolio. Issuers may submit filings containing multiple portfolios, provided the portfolios are identified in the Form NF and correct fees are paid.

(3)

For a notice filing for offerings to qualified purchasers, or of federally exempt securities or federally exempt transactions pursuant to section 18(b)(3) or (4), other than section 18(b)(4)(E), of the Securities Act of 1933, as amended, a fee of $200. No renewal notice filing or fee is required.

(4)

For a Regulation D Rule 506 offering notice filing, a fee of $250. No renewal notice filing or fee is required.
Source

Last accessed
Jun. 8, 2021