Ohio Administrative Code Search

...(A) The recommendation or appointment of an ancillary trustee by the superintendent in accordance with division (C)(3) of section 4735.05 of the Revised Code shall be made as soon as possible following the receipt of an application for such recommendation or appointment. (B) The appointment of an ancillary trustee to conclude the business affairs of a deceased or revoked principal broker is s...

...(A) A broker shall develop a consumer guide to agency relationships that contains the written disclosures required by division (B) of section 4735.56 of the Revised Code. (B) The consumer guide to agency relationships shall: (1) Be entitled "Consumer Guide to Agency Relationships". The title font size shall be no less than fourteen points; (2) Contain the brokerage name and fair housing logo. The brokerage may a...

...(A) Continuing education courses shall be completed in seminars, schools, and educational institutions which are not limited to institutions providing two-year or four-year degrees but may include qualifying public or private schools, firms, associations, organizations, individuals, corporations, or similar arrangements and must be successfully completed after the effective date of this rule. (B) An applicant for in...

...(A) "Having no readily determinable value," as used in division (L)(1) of section 1707.01 of the Revised Code and paragraph (K)(2)(b)(i) of rule 1301:6-3-15 of the Administrative Code, means any securities not listed on an exchange specified in division (E)(1) of section 1707.02 of the Revised Code or approved by the division in accordance with division (E)(2) of section 1707.02 of the Revised Code or securities not ...

...(A) "Having no readily determinable value," as used in division (L)(1) of section 1707.01 of the Revised Code means any securities not listed on an exchange specified in division (E)(1) of section 1707.02 of the Revised Code or approved by the division in accordance with division (E)(2) of section 1707.02 of the Revised Code or securities not actively traded in the over-the-counter market. (B) "T...

...(A) Definitions. For the purposes of this rule and section 1707.03 of the Revised Code: (1) "Bank" shall have the meaning specified in division (O) of section 1707.01 of the Revised Code. (2) "Escrow Agreement" shall mean a written instrument established by a dealer registered with the securities and exchange commission in accordance with the standards set forth in 17 CFR 15c2-4(b), as amended, or a written instrum...

...(A) Definitions. For the purposes of this rule and section 1707.03 of the Revised Code: (1) "Bank" shall have the meaning specified in division (O) of section 1707.01 of the Revised Code. (2) "Escrow Agreement" shall mean a written instrument established by a dealer registered with the securities and exchange commission in accordance with the standards set forth in 17 CFR 15c2-4(b), as amend...

...(A) If an offeror makes a control bid for any securities of a subject company pursuant to a tender offer or request or invitation for tenders that is not subject to section 14(d) of the Securities Exchange Act of 1934, 15 U.S.C.A. 78a, as amended, any person who deposits securities pursuant to the tender offer, request or invitation has the right to withdraw such securities during the period such offer, request or in...

...(A) If an offeror makes a control bid for any securities of a subject company pursuant to a tender offer or request or invitation for tenders that is not subject to section 14(d) of the Securities Exchange Act of 1934, 15 U.S.C.A. 78a, as amended, any person who deposits securities pursuant to the tender offer, request or invitation has the right to withdraw such securities during the period such ...

...(A) Every registration by description filed with the division pursuant to section 1707.06 of the Revised Code shall be filed on an appropriate division form. A registration by description intended to comply with division (A)(1) of section 1707.06 of the Revised Code shall be filed on a division form 6(A)(1), a registration by description intended to comply with division (A)(2) of section 1707.06 of the Revised Code s...

...(A) Application. (1) An application to register securities by qualification in accordance with section 1707.09 of the Revised Code shall be made on a form 9 of the division or on form U-1 of the North American securities administrators association, and shall, as applicable, be accompanied by a division form 11 or a form U-2, and a form U-2(A) of the North American securities administrators association. (2) Whenever...

...(A) Application. (1) An application to register securities by qualification in accordance with section 1707.09 of the Revised Code shall be made on a form 9 of the division or on form U-1 of the North American securities administrators association, and shall, as applicable, be accompanied by a division form 11 or a form U-2, and a form U-2(A) of the North American securities administrators associ...

...(A) A registration statement filed pursuant to section 1707.091 of the Revised Code shall include the following documents in addition to the information specified in divisions (B)(1) and (B)(4) of section 1707.091 of the Revised Code, and the consent to service of process required by section 1707.11 of the Revised Code, unless the division permits otherwise: (1) A copy of the articles of inco...

...(A) A registration statement filed pursuant to section 1707.091 of the Revised Code shall include the following documents in addition to the information specified in divisions (B)(1) and (B)(4) of section 1707.091 of the Revised Code, and the consent to service of process required by section 1707.11 of the Revised Code, unless the division permits otherwise: (1) A copy of the articles of incorporation and code of re...

...(A) Issuers may elect to submit notice filings to the division electronically. (1) Only investment companies that have registered securities, or have filed a registration statement, under the Investment Company Act of 1940, as amended, or issuers relying on Rule 506 of Regulation D, as amended, may submit electronic filings to the division. (2) Investment companies shall submit a Form NF for electronic filings. (3...

...(A) Issuers may elect to submit notice filings 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 se...

...(A) A dealer's license shall be required of a person who acts as a dealer, 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, directl...

...(A) The notice filing 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 sub...

...(A) The notice filing 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, a fully completed part 2A of the form ADV; ...

...(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...

...(A) License application. The license 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 for...

...(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 s...

...(A) Definitions. 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 ...

...(A) License application contents and procedure. 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 Transfe...

...(A) License application contents and procedure. 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...