Ohio Administrative Code
Title 1301:6 - Division of Securities
Chapter 1301:6-3 - Registration of Securities; Licensing
- Section 1301:6-3-01 - Definitions
- Section 1301:6-3-02 - Exempt securities
- Section 1301:6-3-03 - Exempt transactions
- Section 1301:6-3-04.1 - Control bids
- Section 1301:6-3-06 - Transactions registered by description
- Section 1301:6-3-08 - Registration by description
- Section 1301:6-3-09 - Registration by qualification
- Section 1301:6-3-09.1 - Registration by coordination
- Section 1301:6-3-09.3 - Electronic filings
- Section 1301:6-3-12 - Documents open to inspection
- Section 1301:6-3-13 - Withdrawal of application or notice filing
- Section 1301:6-3-14 - Exceptions to dealer license and securities and exchange commission registration requirements
- Section 1301:6-3-14.1 - Notice filing for certain investment advisers; duty to update
- Section 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
- Section 1301:6-3-15 - Application for securities dealer license; responsibilities of licensed securities dealer
- Section 1301:6-3-15.1 - Application for investment adviser's license; responsibilities of licensed investment adviser
- Section 1301:6-3-16 - Application for salesperson's license; updating
- Section 1301:6-3-16.1 - Application for an investment adviser representative's license
- Section 1301:6-3-16.3 - Application for a state retirement system investment officer's license
- Section 1301:6-3-16.5 - Application for a bureau of workers' compensation chief investment officer license
- Section 1301:6-3-19 - Deceptive practices and good business repute
- Section 1301:6-3-23 - Enforcement powers
- Section 1301:6-3-39.1 - Retroactive exemption, qualification or registration
- Section 1301:6-3-44 - Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions
- Section 1301:6-3-48 - Records retention
- Section 1301:6-3-471 - Ohio investor recovery fund
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