(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;
- (c) A non-refundable registration fee as set in OAR 441-065-0001;
- (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;
- (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.
Statutory/Other Authority
ORS 59.065, 59.085 & 59.285
Statutes/Other Implemented
ORS 59.065 & 59.085
History
FSR 5-2018, adopt filed 04/26/2018, effective 05/01/2018