Ohio Administrative Code Search
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Rule 1301:6-3-19 | Deceptive practices and good business repute.
...(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... |
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Rule 1301:6-3-19 | Deceptive practices and good business repute.
...(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... |
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Rule 1301:6-3-39.1 | Retroactive exemption, qualification or registration.
...(A) An application 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... |
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Rule 1301:6-3-39.1 | Retroactive exemption, qualification or registration.
...(A) An application 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, "failu... |
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Rule 1301:6-3-44 | Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions.
...(A) Advertisements by investment advisers and 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 a... |
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Rule 1301:6-3-44 | Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions.
...(A) Advertisements by investment advisers and 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 ... |
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Rule 1301:7-7-01 | Scope and administration.
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Rule 1301:7-7-02 | Definitions.
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Rule 1301:7-7-03 | General requirements.
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Rule 1301:7-7-04 | Emergency planning and preparedness.
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Rule 1301:7-7-05 | Fire service features.
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Rule 1301:7-7-06 | Building services and systems.
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Rule 1301:7-7-07 | Fire and smoke protection features.
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Rule 1301:7-7-08 | Interior finish, decorative materials and furnishings.
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Rule 1301:7-7-09 | Fire protection and life safety systems.
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Rule 1301:7-7-10 | Means of egress.
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Rule 1301:7-7-11 | Construction requirements for existing buildings.
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Rule 1301:7-7-12 | Energy systems.
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Rule 1301:7-7-20 | Aviation facilities.
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Rule 1301:7-7-21 | Dry cleaning.
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Rule 1301:7-7-22 | Combustible dust producing operations.
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Rule 1301:7-7-23 | Motor fuel-dispensing facilities and repair garages.
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Rule 1301:7-7-24 | Flammable finishes.
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Rule 1301:7-7-27 | Semiconductor fabrication facilities.
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Rule 1301:7-7-28 | Lumber yards and agro-industrial, solid biomass and woodworking facilities.
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