OAR 441-065-0221: Application and Information Requirements for a SOAR Offering

(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.