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

Rule Rule 441-049-1041
Offering to Qualified Purchaser, Federally Exempt Securities and Federally Exempt Transactions


(1)

Except as provided in section (2) of this rule, an issuer offering a security that is a covered security under section 18(b)(3) or (4), other than sections 18(b)(4)(C) or 18(b)(4)(E), of the Securities Act of 1933, as amended, shall:

(a)

File a written notice of such offering identifying the issuer and seller if other than the issuer; and

(b)

Pay a fee as set in OAR 441-049-1001 (Fees for Federal Covered Securities Notice Filings).

(2)

An issuer offering a security that is a variable annuity is exempt from notice filing and the fee requirements under ORS 59.049 (Federal covered securities exempt from registration) and OAR 441-049-1001 (Fees for Federal Covered Securities Notice Filings) provided the security is:

(a)

A covered security under section 18(b)(4) by virtue of being an exempted security under section 3(a)(8) of the Securities Act of 1933; and

(b)

In a form filed with and approved by the Director of the Department of Consumer and Business Services under the Oregon Insurance Code.
Source

Last accessed
Jun. 8, 2021