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Rules
Rule
Rule 1301:6-3-14.2 | Dealers not required under federal law or the law of this state to be registered as a broker or dealer with the securities and exchange commission.

...iness trading units; (b) Separation of duties between personnel responsible for entering into a transaction and those responsible for recording the transaction in the books and records of the OTC derivatives dealer; (c) Periodic reviews that may be performed by internal audit staff and annual reviews that must be conducted by independent certified public accountants of the OTC derivatives dealer's risk management s...
Rule 1301:6-3-15 | Application for securities dealer license; responsibilities of licensed securities dealer.

...orking arrangement clearly outlines the duties and responsibilities of all parties. (c) Customer disclosure and written acknowledgment. (i) Subject to paragraph (H)(4) of this rule, at or prior to the time that a customer's securities brokerage account is opened by a dealer on the premises of a bank where retail deposits are taken, the dealer shall: (a) Disclose, orally and in writing, that the securities products...
Rule 1301:6-3-15.1 | Application for investment adviser's license; responsibilities of licensed investment adviser.

...t adviser has reasonably discharged the duties and obligations incumbent on the investment adviser by reason of the established procedures and the system for applying the procedures without reasonable cause to believe that there was not compliance with the procedures and systems. (E) Books and records. All books and records of investment advisers licensed or required to be licensed under Chapter 1707. of the Revised...
Rule 1301:6-3-15.1 | Application for investment adviser's license; responsibilities of licensed investment adviser.

... adviser has reasonably discharged the duties and obligations incumbent on the investment adviser by reason of the established procedures and the system for applying the procedures without reasonable cause to believe that there was not compliance with the procedures and systems. (E) Books and records. All books and records of investment advisers licensed or required to be licensed under Chapter ...
Rule 1301:6-3-44 | Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions.

...rtaking by the solicitor to perform his duties under the agreement consistent with the instructions of the investment adviser or investment adviser representative and the provisions of Chapter 1707. of the Revised Code and the rules adopted by the division thereunder; (iii) Requires the solicitor, when performing any solicitation activities described in the agreement, to provide the client with: (a) A current copy ...
Rule 1301:6-3-44 | Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions.

...rtaking by the solicitor to perform his duties under the agreement consistent with the instructions of the investment adviser or investment adviser representative and the provisions of Chapter 1707. of the Revised Code and the rules adopted by the division thereunder; (iii) Requires the solicitor, when performing any solicitation activities described in the agreement, to provide the cli...
Rule 1301:7-7-01 | Scope and Administration.

...
Rule 1301:7-7-02 | Definitions.

...
Rule 1301:7-7-04 | Emergency planning and preparedness.

...y instructed and kept informed of their duties and responsibilities under the plan. Records of instruction shall be maintained. Such instruction shall be reviewed by the staff not less than every two months. A copy of the plan shall be readily available at all times within the facility. (d) 403.3.4 Emergency evacuation drills. Emergency evacuation drills shall comply with paragraph (E)(405) of this rule. Emergency e...
Rule 1301:7-7-31 | Tents and other membrane structures.

...vity is being conducted. (a) 3104.20.1 Duties. Before each performance or the start of such activity, standby personnel shall keep diligent watch for fires during the time such place is open to the public or such activity is being conducted and take prompt measures for extinguishment of fires that occur and assist in the evacuation of the public from the structure. (b) 3104.20.2 Crowd managers. There shall be train...
Rule 1301:7-7-35 | Welding and other hot work.

...osed areas are monitored. (c) 3504.2.3 Duties. Individuals designated to fire watch duty shall have fire-extinguishing equipment readily available and shall be trained in the use of such equipment. Individuals assigned to fire watch duty shall be responsible for extinguishing spot fires and communicating an alarm. (d) 3504.2.4 Fire training. The individuals responsible for performing the hot wor...
Rule 1301:7-7-56 | Explosives and Fireworks.

...
Rule 1301:7-9-15 | Delegation of authority to inspect UST systems.

...F) of this rule shall be limited to the duties identified in paragraph (C) of this rule and to the following: (i) Such inspectors may approve or deny an extension of the twelve month out of service period within their jurisdictional area in accordance with paragraphs (E)(4) and (E)(6) of rule 1301:7-9-12 of the Administrative Code. All approvals and denials shall be in writing and a copy shall be delivered to the st...
Rule 1301:7-9-15 | Delegation of authority to inspect UST systems.

...f this rule shall be limited to the duties identified in paragraph (C) of this rule and to the following: (i) Such inspectors may approve or deny an extension of the twelve month out of service period within their jurisdictional area in accordance with paragraphs (E)(4) and (E)(6) of rule 1301:7-9-12 of the Administrative Code. All approvals and denials shall be in writing and a copy ...
Rule 1301:8-5-08 | Continuing education.

... to offer the course, and the names and duties of all persons affiliated in an official capacity with the course; (b) The names and addresses of the owners of the entity or association if the applicant is an entity or association; (c) The policy regarding attendance and procedure for record keeping of attendance; (d) A summary of the course, including: (i) A description of the type of training (...
Rule 1301:8-5-08 | Continuing education.

... to offer the course, and the names and duties of all persons affiliated in an official capacity with the course; (b) The names and addresses of the owners of the entity or association if the applicant is an entity or association; (c) The policy regarding attendance and procedure for record keeping of attendance; (d) A summary of the course, including: (i) A description of the type of training (...
Rule 1301:8-7-01 | Definitions.

...; (e) Performs the clerical or support duties of a loan processor or underwriter as an independent contractor. (2) "Loan originator" does not include, in addition to those individuals listed in division (E)(2) of section 1322.01 of the Revised Code, any of the following: (a) An individual who is an employee of a federal, state, or local government agency or housing finance agency and who acts as a loan originator ...
Rule 1301:8-7-01 | Definitions.

... a buyer. (D) "Clerical or support duties" has the same meaning as "administrative or clerical tasks" as defined in division (A) of section 1322.01 of the Revised Code. (E) "Credit union service organization" means an entity that a credit union, chartered and lawfully doing business under the laws of this state, another state, or the United States, invests in or loans to and that primarily p...
Rule 1301:8-7-02 | Registration, letters of exemption, office requirements and restrictions.

...e of conducting the clerical or support duties of loan processing or underwriting for the same registrant or qualified exempt entity. (D) In accordance with division (A)(1) of section 1322.02 of the Revised Code, a registrant shall maintain at all times at least one registered office located in this state that meets all of the following criteria: (1) The registered office shall be a physical location of at least on...
Rule 1301:8-7-02 | Registration, letters of exemption for qualified exempt entities, office requirements and restrictions.

... conducting the clerical or support duties of loan processing or underwriting for the same registrant or qualified exempt entity. (D) The following restrictions and requirements apply to each additional office location maintained by the registrant, also referred to herein as branch offices: (1) A branch office shall not be a separate business entity; (2) A branch office shall not pay its ow...
Rule 1301:8-7-02 | Registration, letters of exemption for qualified exempt entities, office requirements and restrictions.

... conducting the clerical or support duties of loan processing or underwriting for the same registrant or qualified exempt entity. (D) The following restrictions and requirements apply to each additional office location maintained by the registrant, also referred to herein as branch offices: (1) A branch office shall not be a separate business entity; (2) A branch office shall not pay its ow...
Rule 1301:8-7-14 | Surety bonds.

...e shall perform the clerical or support duties of a loan processor or underwriter as described in 12 U.S.C. 5102(4)(B), as in effect on January 12, 2014, in this state as an employee of a loan processing or underwriting company or as an independent contractor, unless either the licensee, or the loan processing or underwriting company on the licensee's behalf, has obtained and maintains in effect at all times a corpor...
Rule 1301:8-7-14 | Surety bonds.

...all perform the clerical or support duties of a loan processor or underwriter in this state as an employee of a loan processing or underwriting company or as an independent contractor, unless either the licensee, or the loan processing or underwriting company on the licensee's behalf, has obtained and maintains in effect at all times a corporate surety bond issued by a bonding company or insurance...
Rule 1301:8-7-31 | Nonprofit organizations exemption.

...se only with respect to his or her work duties to the nonprofit organization and only with respect to residential mortgage loans with terms that are favorable to the borrower.
Rule 1301:8-7-31 | Bona fide nonprofit organizations exemption.

...se only with respect to his or her work duties to the nonprofit organization and only with respect to residential mortgage loans with terms that are favorable to the borrower.