Effective: June 18, 2002 Latest Legislation: Senate Bill 138 – 124th General Assembly (A) For the purposes of selling securities in this state, except securities that are the subject matter of transactions enumerated in section 1707.03 of the Revised Code, an investment company, as defined by the Investment Company Act of 1940, that is registered […]
Effective: March 18, 1999 Latest Legislation: House Bill 695 – 122nd General Assembly Notwithstanding any provision of Chapter 1707. of the Revised Code, or any rule adopted by the division of securities under that chapter, requiring a signature or verification, the division may provide by rule for the electronic filing or submission of any form, […]
Effective: March 31, 2021 Latest Legislation: House Bill 312 – 133rd General Assembly Any securities required by sections 1707.01 to 1707.50, inclusive, of the Revised Code, to be registered by qualification before being sold in this state may be offered for sale and sold preliminary to and pending their full qualification, where the division of […]
Effective: September 29, 2011 Latest Legislation: House Bill 153 – 129th General Assembly (A) Each person that is not organized under the laws of this state, that is not licensed under section 1703.03 of the Revised Code, or that does not have its principal place of business in this state, shall submit to the division […]
Effective: June 18, 2002 Latest Legislation: Senate Bill 138 – 124th General Assembly (A) Except for offering materials filed with the division of securities in connection with exempt transactions under divisions (Q) and (W) of section 1707.03 of the Revised Code, all applications and other papers filed with the division shall be open to inspection […]
Effective: March 31, 2021 Latest Legislation: House Bill 312 – 133rd General Assembly The division of securities may suspend the registration by description or by qualification of any securities, or the right of any dealers or of the issuer, or of both, to buy, sell, or deal in any particular security whether it is registered, […]
Effective: September 16, 2003 Latest Legislation: House Bill 7 – 125th General Assembly (A) For purposes of this section, “five per cent shareholder” means a beneficial owner of five per cent or more of the issuer’s outstanding securities. (B) The division of securities shall refuse any registration by description, by qualification, or by coordination if […]
Effective: September 29, 2015 Latest Legislation: House Bill 64 – 131st General Assembly (A) No person shall act as a dealer, unless the person is licensed as a dealer by the division of securities, except when at least one of the following cases applies: (1) When the person is transacting business through or with a […]
Effective: June 18, 2002 Latest Legislation: Senate Bill 138 – 124th General Assembly (A) No person shall act as an investment adviser, unless one of the following applies: (1) The person is licensed as an investment adviser by the division of securities; however, nothing in this section shall be construed to prohibit a person from […]
Effective: October 12, 2006 Latest Legislation: House Bill 301 – 126th General Assembly (A) Every dealer required to be licensed under section 1707.14 of the Revised Code shall comply with all broker and dealer capital, custody, margin, financial responsibility, record-making, record-keeping, bonding, financial reporting, and operational reporting requirements contained in Section 15 of the “Securities […]
Effective: June 18, 2002 Latest Legislation: Senate Bill 138 – 124th General Assembly (A) Application for a dealer’s license shall be made in accordance with this section and by filing with the division of securities the information, materials, and forms specified in rules adopted by the division, along with all of the following information: (1) […]
Effective: June 18, 2002 Latest Legislation: Senate Bill 138 – 124th General Assembly (A) Application for an investment adviser’s license shall be made in accordance with this section and by filing with the division of securities the information, materials, and forms specified in rules adopted by the division. (B)(1) The division may investigate any applicant […]
Effective: September 16, 2003 Latest Legislation: House Bill 7 – 125th General Assembly (A) Every salesperson of securities must be licensed by the division of securities and shall be employed, authorized, or appointed only by the licensed dealer specified in the salesperson’s license. If the relationship between the salesperson and the dealer is severed, the […]
Effective: March 31, 2021 Latest Legislation: House Bill 312 – 133rd General Assembly (A) No person shall act as an investment adviser representative, unless one of the following applies: (1) The person is licensed as an investment adviser representative by the division of securities. (2) The person is a natural person who is licensed as […]
Effective: December 14, 2004 Latest Legislation: Senate Bill 133 – 125th General Assembly (A) No person shall act as a state retirement system investment officer unless the person is licensed as a state retirement system investment officer by the division of securities. (B) No state retirement system investment officer shall act as a dealer, salesperson, […]
Effective: September 15, 2004 Latest Legislation: Senate Bill 133 – 125th General Assembly (A) Application for a state retirement system investment officer’s license shall be made in accordance with this section by filing with the division of securities the information, materials, and forms specified in rules adopted by the division. (B)(1) The division may investigate […]
Effective: September 29, 2005 Latest Legislation: House Bill 66 – 126th General Assembly (A) No person shall act as a bureau of workers’ compensation chief investment officer unless the person is licensed as a bureau of workers’ compensation chief investment officer by the division of securities. (B) No bureau of workers’ compensation chief investment officer […]
Effective: September 29, 2005 Latest Legislation: House Bill 66 – 126th General Assembly (A) Application for a bureau of workers’ compensation chief investment officer’s license shall be made in accordance with this section by filing with the division of securities the information, materials, and forms specified in rules adopted by the division. (B) The division […]
Effective: March 31, 2021 Latest Legislation: House Bill 312 – 133rd General Assembly (A)(1) The license of every dealer in and salesperson of securities shall expire on the thirty-first day of December of each year, and may be renewed upon the filing with the division of securities of an application for renewal, and the payment […]
Effective: October 16, 2009 Latest Legislation: House Bill 1 – 128th General Assembly (A)(1) If a partnership licensed as a dealer is terminated under the laws of the state where the partnership is organized, or by death, resignation, withdrawal, or addition of a general partner, the license of the partnership shall be automatically extended for […]
