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

Rule Rule 441-049-1051
Rule 506 Offerings


A person offering a covered security under section 18(b)(4)(E) shall:
(1)(a) File a notice on SEC Form D not later than 15 days after the first sale of securities subject to the notice in Oregon;

(b)

For the purposes of notice, submit to the director the aggregate amount offered in Oregon;

(A)

An offering amount may be “Indefinite” if the amount being offered is undetermined or cannot be calculated at the present time, such as if the offering includes securities to be acquired upon the exercise or exchange of other securities or property and the exercise price or exchange value is not currently known or knowable.

(B)

If an amount is definite but difficult to calculate without unreasonable effort or expense, provide a good faith estimate.

(2)

Pay a fee as set in OAR 441-049-1001 (Fees for Federal Covered Securities Notice Filings).
[ED. NOTE: Forms referenced are available from the agency.]
Source

Last accessed
Jun. 8, 2021