| Updated: |
7/6/2007 |
| Description: |
Securities may not be sold in Oregon unless the offering is registered. Securities are exempt from registration if, the securities are sold in an exempt transaction, or the securities are "federal covered securities" and the proper notice filing and fees have been paid.
Similar Keywords: mutual funds, stocks, bonds, hedge |
| Statutes, Rules, Ordinances: |
ORS 059
OAR 441-049, -065 & -085
|
| Duration: |
One year |
| Fees - application, exam, etc.: |
$200 - $1,500, depending on amount being offered to the public |
| Responsible Agency: |
Finance & Corporate Securities Div DFCS - Licenses |
| Fee Exemptions: |
Multiple exemptions and exclusions available; see ORS 59.025 and 59.035 |
| Bonding Requirements: |
None |
| Insurance Requirements: |
None |
| Prerequisites: |
Preparation of offering documents and application packages is a complex task. Read statutes and rules carefully. Assistance of legal counsel experienced in securities offerings is suggested. |
| Service Links: |
 Application to Register Securities
Agency Contact Information
|
| Additional Information: |
Persons using exemptions have the burden of proving the exemption was available under the circumstances.
Overnight mail address: 350 Winter St NE, Room 410
Salem, OR 97301-3881 |
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| |
Agency Information
|
|
Please refer to the Agency Website for further details and additional information.
|
| Agency Name: |
Finance & Corporate Securities Div DFCS - Licenses |
| E-mail Address: |
dcbs.dfcsmail@state.or.us
|
| Phone: |
503-378-4140
|
| Mail Address: |
Division of Finance & Corporate Securities
PO Box 14480
Salem, OR 97309
- 0405
|
| Website Information: |
http://dfcs.oregon.gov/ |
