Oregon regulates securities under the Oregon Securities Law, enforced by the Division of Financial Regulation within the Department of Consumer and Business Services. Oregon requires registration or exemption for securities offered or sold in the state.
Oregon allows registration by coordination, qualification, or notice filing. Reg D Rule 506 offerings require Form D notice filing with the Division of Financial Regulation. Filing fee is $250, due within 15 days of first sale.
Understanding the core regulatory framework in Oregon:
Securities must be registered before offer or sale unless exempt under ORS Chapter 59
The Division of Financial Regulation has authority to investigate and bring enforcement actions
Anti-fraud provisions apply to all securities transactions in Oregon
Oregon requires registration of broker-dealers and investment advisers
Oregon provides the following exemptions from full securities registration:
Oregon imposes civil penalties up to $10,000 per violation, criminal penalties including fines and imprisonment, investor rescission rights, and administrative sanctions.
Oregon's technology sector and growing business environment generate M&A activity. Transactions involving Oregon-based shareholders require compliance when stock is part of the consideration. Acquisition Stars handles Oregon notice filings for multi-state transactions.
Acquisition Stars handles blue sky compliance, M&A transactions, and securities offerings nationwide. Managing partner Alex Lubyansky provides direct counsel on every engagement.
Common questions about Oregon blue sky laws and securities compliance
Our managing partner provides selective securities and M&A counsel for transactions involving Oregon blue sky law compliance. Submit your transaction details for a preliminary assessment.
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