3309-1-06. Ohio-qualified agents and investment managers

(A) For purposes of division (A)(4) of section 3309.157 and section 3309.159 of the Revised Code, an investment manager may be designated as an "Ohio-qualified investment manager" if the investment manager and/or any parents, affiliates, or subsidiaries of the investment manager meets the requirements of divisions (A)(1) and (A)(2) of section 3309.159 of the Revised Code.

(B) For purposes of sections 3309.157 and 3309.159 of the Revised Code, "principal place of business" includes an office in which the agent or investment manager regularly provides securities or investment advisory services and solicits, meets with, or otherwise communicates with clients.

Five Year Review (FYR) Dates: 2/1/2019 and 02/01/2024
Promulgated Under: 111.15
Statutory Authority: 3309.04
Rule Amplifies: 3309.157, 3309.159
Prior Effective Dates: 04/10/2005, 04/01/2016

Prior History: (Effective: 4/1/2016
Five Year Review (FYR) Dates: 02/01/2019
Promulgated Under: 111.15
Statutory Authority: 3309.04
Rule Amplifies: 3309.157, 3309.159
Prior Effective Dates: 4/10/05)