OAR 441-065-0015
When Registration Application Deemed Abandoned

(1)

For purposes of this rule, the term “application” includes all documents, information and fees prescribed for the registration of securities under ORS 59.065 (Registration procedures) and OAR 441, division 65.

(2)

An application shall be deemed deficient when:

(a)

Insufficient fees have been paid and the Director has notified the applicant that the fees are insufficient;

(b)

Documents required by the rules in OAR 441, division 65 have not been submitted by the applicant;

(c)

Additional information requested by the Director as permitted by the rules in OAR 441, division 65 has not been submitted to the Director by the applicant; or

(d)

Changes to disclosure documents requested by the Director have not been submitted to the Director by the applicant.

(3)

An application for registration of securities is deemed abandoned if:

(a)

The application has been on file for a minimum of six (6) months;

(b)

The application is deficient; and

(c)

The applicant has failed to respond to the Director’s written notice of warning of abandonment within thirty (30) calendar days of the date of warning.

(4)

Fees paid in connection with an abandoned registration shall not be refunded.

(5)

An applicant whose application has been abandoned may reapply by submitting a new application including new fees.

Source: Rule 441-065-0015 — When Registration Application Deemed Abandoned, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=441-065-0015.

441–065–0001
Fees for Registration of Securities 441–065–0010
Types of Registration 441–065–0015
When Registration Application Deemed Abandoned 441–065–0020
Registration by Qualification 441–065–0030
Registration by Filing 441–065–0035
Registration by Multijurisdictional Coordination 441–065–0040
Registration for Resale, or Dealing and Trading 441–065–0050
Condominium Securities 441–065–0060
Creation of Classifications 441–065–0070
Definitions 441–065–0080
General Requirements and Limitations 441–065–0090
Integration 441–065–0100
Information Requirements - General 441–065–0110
Public Advertising and General Solicitation 441–065–0130
Bad Actor Disqualification 441–065–0140
Limitation on Selling Expenses 441–065–0150
Escrow of Proceeds 441–065–0160
Rescission of Improvident Sales Including Oversales 441–065–0180
Licensing of Salespersons 441–065–0190
Filings and Reports 441–065–0200
Records 441–065–0210
Waiver of Provisions 441–065–0220
Small Offering Abbreviated Registration (SOAR) Procedure for Offerings Not Exceeding $1,000,000 (Including Under SEC Rule 504) 441–065–0221
Application and Information Requirements for a SOAR Offering 441–065–0222
SOAR Offering Disclosure Requirements 441–065–0223
Denial or Approval of a SOAR Offering Application by the Director 441–065–0224
Retroactive Registration of SOAR Securities that Exceed the Amount Registered 441–065–0225
Registration for a Small Corporate Offering Registration (SCOR) Procedure for Offerings Not Exceeding $5,000,000 441–065–0250
Definitions 441–065–0260
Optional Registration Procedures for Securities Involving Real Estate Paper
Last Updated

Jun. 8, 2021

Rule 441-065-0015’s source at or​.us