Ohio Administrative Code Search

...lings to the division electronically. (1) Investment companies that have registered securities, or have filed a registration statement, under the Investment Company Act of 1940, 15 U.S.C. 80a-1 et seq., as amended, issuers relying on Rule 506 of Regulation D, 17 CFR 230.506, as amended, eligible tier 2 issuers pursuant to Regulation A, 17 CFR 230.251 et seq., or eligible issuers relying on "Regul...

..., as defined in division (E) of section 1707.01 of the Revised Code subject, to the provisions of division (A)(1) of section 1707.14 of the Revised Code, and to the following exceptions: (1) Without a license, a person may sell the promissory notes or commercial paper of its subsidiary, provided such securities are not offered for sale, directly or indirectly, to the public, as that term is defined in paragraph (D) ...

...ng specified in division (B) of section 1707.141 of the Revised Code shall: (1) Consist of a fully completed part 1 of the form ADV, uniform application for investment adviser registration, fully completed schedules and disciplinary reporting pages pertaining to part 1 of the form ADV, a fully completed execution page of the form ADV, and a fully completed part 2A of the form ADV; and (2) Be submitted to the divis...

...pecified in division (B) of section 1707.141 of the Revised Code shall: (1) Consist of a fully completed part 1 of the form ADV, uniform application for investment adviser registration, fully completed schedules and disciplinary reporting pages pertaining to part 1 of the form ADV, a fully completed execution page of the form ADV, a fully completed part 2A of the form ADV; and a fully completed p...

...(A) Pursuant to division (C) of section 1707.142 of the Revised Code, a dealer that is not required under federal law or the law of this state to register as a broker or dealer with the securities and exchange commission may elect to comply with paragraphs (B) to (M) of this rule in lieu of requirement contained in section 15 of the Securities and Exchange Act of 1934, 48 Stat. 881, 15 U.S.C. 78o, as amended, section...

...icense application specified in section 1707.15 of the Revised Code shall consist of: (1) A completed form BD of the securities and exchange commission submitted to the division through the central registration depository, or CRD, maintained by the "Financial Industry Regulatory Authority." Dealers not affiliated with the "Financial Industry Regulatory Authority" must submit a paper form BD to the division; (2) The...

...A) Definitions. As used in this rule: (1) "Affiliated person" shall have the same meaning as set forth in section 2(a)(3) of the Investment Company Act of 1940, as amended. (2) "Assignment" as used in paragraph (H) of this rule includes any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor or of a controlling block of the assignor's outstanding voting securities by a se...

...efinitions. As used in this rule: (1) "Affiliated person" has the same meaning as set forth in section 2(a)(3) of the Investment Company Act of 1940, as amended. (2) "Assignment" as used in paragraph (H) of this rule includes any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor or of a controlling block of the assignor's outstanding voting secur...

...re. Pursuant to division (D) of section 1707.161 of the Revised Code, investment adviser representative license application and procedure shall be as follows: (1) The license application specified in division (D) of section 1707.161 of the Revised Code shall consist of: (a) A properly completed form U-4, "Uniform Application for Securities Industry Registration or Transfer" for each investment adviser for whom the ...

...re. Pursuant to division (D) of section 1707.161 of the Revised Code, investment adviser representative license application and procedure shall be as follows: (1) The license application specified in division (D) of section 1707.161 of the Revised Code shall consist of: (a) A properly completed form U-4, "Uniform Application for Securities Industry Registration or Transfer" for each investment a...

...e. Pursuant to division (A) of section 1707.163 of the Revised Code, state retirement system investment officer license application and procedure shall be as follows: (1) The license application shall consist of: (a) A properly completed form "SRSIO;" (b) The license fee required by division (B)(6) of section 1707.17 of the Revised Code; (c) A properly completed standard impression sheet prescribed by the superi...

...re. Pursuant to division (A) of section 1707.163 of the Revised Code, state retirement system investment officer license application and procedure shall be as follows: (1) The license application shall consist of: (a) A properly completed form "SRSIO"; (b) The license fee required by division (B)(6) of section 1707.17 of the Revised Code; (c) A properly completed standard impression sheet prescrib...

...e. Pursuant to division (A) of section 1707.16.5 of the Revised Code, the bureau of workers' compensation chief investment officer license application and procedure shall be as follows: (1) The license application shall consist of: (a) A properly completed form "BWCCIO;" (b) The license fee required by division (B)(7) of section 1707.17 of the Revised Code; (c) A properly completed standard impression sheet pres...

...(A) No dealer or salesperson shall: (1) Engage in any pattern of unreasonable or unjustified delay in the delivery of securities sold; (2) Induce trading in a customer's account which is excessive in size or frequency in view of the financial resources of the customer or character of the account; (3) Execute a transaction on behalf of a customer without authority to do so; (4) Exercise any discretionary authority...

...) No dealer or salesperson shall: (1) Engage in any pattern of unreasonable or unjustified delay in the delivery of securities sold; (2) Induce trading in a customer's account which is excessive in size or frequency in view of the financial resources of the customer or character of the account; (3) Execute a transaction on behalf of a customer without authority to do so; (4) Exercise any ...

...ication may be made pursuant to section 1707.391 of the Revised Code to exempt, qualify or register securities when the only deficiency is a failure to timely file or a failure to properly file with the division the appropriate form due to excusable neglect and the issuer is not otherwise in violation of section 1707.13 of the Revised Code. (1) For the purposes of this rule, "failure to timely file" means the failur...

...ion may be made pursuant to section 1707.391 of the Revised Code to exempt, qualify or register securities when the only deficiency is a failure to timely file or a failure to properly file with the division the appropriate form due to excusable neglect and the issuer is not otherwise in violation of section 1707.13 of the Revised Code. (1) For the purposes of this rule, "failure to timely fi...

...d investment adviser representatives. (1) It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 1707.44 of the Revised Code for any investment adviser licensed or required to be licensed under Chapter 1707. of the Revised Code, or any investment adviser representative employed by or associated with an investment adviser licensed or required to...

...d investment adviser representatives. (1) It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 1707.44 of the Revised Code for any investment adviser licensed or required to be licensed under Chapter 1707. of the Revised Code, or any investment adviser representative employed by or associated with an investment adviser lic...

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...(A) Section 401 General (1) 401.1 Scope. Reporting of emergencies, coordination with emergency response forces, emergency plans, and procedures for managing or responding to emergencies shall comply with the provisions of this paragraph. Exception: Firms that have approved on-premises fire-fighting organizations and that are in compliance with approved procedures for fire reporting. (2) 401.2 Approval. Where requi...

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