Ohio Administrative Code Search
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Rule 1301:6-3-15 | Application for securities dealer license; responsibilities of licensed securities dealer.
...(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... |
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Rule 1301:6-3-15.1 | Application for investment adviser's license; responsibilities of licensed investment adviser.
...(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... |
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Rule 1301:6-3-15.1 | Application for investment adviser's license; responsibilities of licensed investment adviser.
...(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 ... |
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Rule 1301:6-3-16.1 | Application for an investment adviser representative's license.
...(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... |
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Rule 1301:6-3-16.1 | Application for an investment adviser representative's license.
...(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... |
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Rule 1301:6-3-16.3 | Application for a state retirement system investment officer's license.
...(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... |
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Rule 1301:6-3-16.3 | `Application for a state retirement system investment officer's license.
...(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... |
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Rule 1301:6-3-16.5 | Application for a bureau of workers' compensation chief investment officer license.
...(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... |
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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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