Or. Admin. Code § 441-035-0220

Current through Register Vol. 63, No. 11, November 1, 2024

Section 441-035-0220 - Records

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

(1) Any information the issuer, broker dealer, or salesperson collected and relied upon to determine the residency and income of an investor;

(2) Records relating to sales of securities following the close of the offering that are considered as part of the offering; and

(3) All disclosures, advertising, and materials used in connection with the sale of OIOs.

Or. Admin. Code § 441-035-0220

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

Statutory/Other Authority: ORS 59.035 & 17 CFR § 230.147A

Statutes/Other Implemented: ORS 59.035