Ohio Administrative Code Search

... the performance of backflow technician duties, including consideration of such experience as it relates to the class of backflow technician certification that is being applied for. (2) Completion of a twenty-four hour backflow course by an approved training agency that includes a mandatory hands-on testing and repairing examination administered by an approved training agency. (3) Payment of an ...

...he brokerage and performs all other duties required by division (C) of section 4735.081 of the Revised Code. (C) Evidence that a licensee has entered into an arrangement to lend the licensee's name or license under the provisions of this rule shall constitute prima facie evidence of misconduct and shall constitute a violation of division (A)(6) of section 4735.18 of the Revised Code. (D) Evi...

...only performs the following limited duties: (1) Maintenance; (2) Clerical or administrative support; (3) Collects or accepts rents and/or security deposits which are made payable to the owner or real estate brokerage; (4) Exhibits or shows residential rental units to prospective tenants; (5) Furnishes published information; (6) Supplies applications and leases; (7) Receives applicat...

...hly rent or money and have no other duties on behalf of the owner following the execution of a lease; or (3) That only maintain property management accounts in the name of the owner pursuant to rule 1301:5-5-23 of the Administrative Code.

...ins the form to be used for waiver of duties as required by division (C) of section 4735.621 of the Revised Code. All of the requirements of section 4731.621 of the Revised Code are contained in the appendix to this rule.

...censee has been assigned management duties that involve oversight responsibilities for the brokerage's main office, a branch office, or a division within that brokerage by its principal broker; and, (2) Those management duties include the supervision of affiliated licensees whose agency duties to their clients may conflict with those of other licensees affiliated with the brokerage. (B) Supe...

... violation of the licensee's agency duties. These procedures shall include those steps affiliated licensees are required to follow to protect confidential information from being disclosed to other licensees within the brokerage who are not bound by the agency relationship. This policy must address the following: (a) Office files; (b) Computerized records and messages; (c) Office meetings and di...

... licensee, a three hour course on the duties of a principal broker and other issues involved in operating a real estate brokerage must be included within the required thirty hours of continuing education courses. The superintendent may have an audit conducted of any licensee to determine whether the licensee is in compliance with this rule. All licensees must maintain proof of compliance for six ye...

...etarial, or administrative functions or duties, which employee, in connection with the employee's regular functions or duties, participates in the investment activities of the entity, provided that, for at least twelve months, the employee has been performing such nonclerical, nonsecretarial, or nonadministrative functions or duties for or on behalf of the entity or performing substantially similar functions or dutie...

...etarial, or administrative functions or duties, which employee, in connection with the employee's regular functions or duties, participates in the investment activities of the entity, provided that, for at least twelve months, the employee has been performing such nonclerical, nonsecretarial, or nonadministrative functions or duties for or on behalf of the entity or performing substantia...

...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...

...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...

...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...

... 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 ...

...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 ...

...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...

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...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...

...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 ...

... 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 (...

... 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 (...

...; (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 ...

... 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...