Ohio Administrative Code Search

...(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) 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) 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...

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

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

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

...(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...

...(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...

...(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...

...(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...

...(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...