The issuer shall maintain the following records for inspection by the Director for four (4) years from the date the OIO is completed.

1. (1) Any information the issuer, broker dealer, or salesperson collected and relied upon to determine the residency and income of an investor;
2. (2) Records relating to sales of securities following the close of the offering that are considered as part of the offering; and
3. (3) All disclosures, advertising, and materials used in connection with the sale of OIOs.

Statutory/Other Authority

ORS 59.035 & 17 CFR § 230.147A

Statutes/Other Implemented

ORS 59.035

History

FSR 12-2017, amend filed 12/28/2017, effective 01/01/2018
FCS 1-2015, f. & cert. ef. 1-15-15