OAR 441-065-0221
Application and Information Requirements for a SOAR Offering

(1) An application to register securities filed under the SOAR Offering shall include the following:
(a) A completed Form 440-2013 (a form for the registration of limited or non-public offerings);
(b) A copy of the written disclosure materials required by OAR 441-065-0222 (SOAR Offering Disclosure Requirements);
(c) A non-refundable registration fee as set in OAR 441-065-0001 (Fees for Registration of Securities);
(d) Unless the offering is being sold through a licensed broker-dealer or by a person exempt from the licensing requirements, at least one completed salesperson application on FINRA Form U-4 and a per person non-refundable license fee as set in OAR 441-175-0002 (Fees for Licensing or Notice Filing of Firms and Individuals);
(e) An escrow, or similar arrangement, agreement;
(f) Pro forma financial statements that include a description and documentation of any material assumptions and demonstrate when the issuer expects to be profitable; and
(g) Any additional or supplementary materials requested by the Director.

Source: Rule 441-065-0221 — Application and Information Requirements for a SOAR Offering, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=441-065-0221.

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 441-065-0221’s source at or​.us