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Ohio Administrative Code (Last Updated: January 12, 2021) |
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1301:6 Division of Securities |
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Chapter1301:6-3. Registration of Securities; Licensing |
| 1301:6-3-01. Definitions |
| 1301:6-3-02. Exempt securities |
| 1301:6-3-03. Exempt transactions |
| 1301:6-3-04.1. Control bids |
| 1301:6-3-06. Transactions registered by description |
| 1301:6-3-08. Registration by description |
| 1301:6-3-09. Registration by qualification |
| 1301:6-3-09.1. Registration by coordination |
| 1301:6-3-09.3. Electronic filings |
| 1301:6-3-12. Documents open to inspection |
| 1301:6-3-13. Withdrawal of application or notice filing |
| 1301:6-3-14. Exceptions to dealer license and securities and exchange commission registration requirements |
| 1301:6-3-14.1. Notice filing for certain investment advisers; duty to update |
| 1301:6-3-14.2. Dealers not required under federal law or the law of this state to be registered as a broker or dealer with the securities and exchange commission |
| 1301:6-3-15. Application for securities dealer license; responsibilities of licensed securities dealer |
| 1301:6-3-15.1. Application for investment adviser's license; responsibilities of licensed investment adviser |
| 1301:6-3-16. Application for salesperson's license; updating |
| 1301:6-3-16.1. Application for an investment adviser representative's license |
| 1301:6-3-16.3. Application for a state retirement system investment officer's license |
| 1301:6-3-16.5. Application for a bureau of workers' compensation chief investment officer license |
| 1301:6-3-19. Deceptive practices and good business repute |
| 1301:6-3-23. Enforcement powers |
| 1301:6-3-39.1. Retroactive exemption, qualification or registration |
| 1301:6-3-44. Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions |
| 1301:6-3-48. Records retention |