There Is a Newer Version of the Ohio Revised Code
2006 Ohio Revised Code - 1707. Securities.
- 1707.01. Definitions.
- 1707.02. Exempt securities.
- 1707.03. Exempt transactions.
- 1707.04. Issuance of securities in reorganizations.
- · · · [1707.04.1] 1707.041.Control bids made pursuant to tender offer or request or invitation for tenders.
- · · · [1707.04.2] 1707.042.Prohibitions relating to control bids.
- · · · [1707.04.3] 1707.043.Manipulative practices; when profits of disposition of equity securities belong to corporation.
- 1707.05. [Repealed]
- 1707.06. Transactions requiring registration.
- 1707.07. [Repealed]
- 1707.08. Registration by description.
- 1707.09. Registration by qualification.
- · · · [1707.09.1] 1707.091.Registration by coordination.
- · · · [1707.09.2] 1707.092.Notice filings/D.
- · · · [1707.09.3] 1707.093.Electronic filings/D.
- 1707.10. Provisional registration by qualification.
- 1707.11. Consent to service.
- 1707.12. Documents open to inspection; testimony by regulatory officials.
- 1707.13. Suspension and revocation of registration.
- · · · [1707.13.1] 1707.131.Grounds for refusal of registration by description, qualification, or coordination.
Licenses.
- 1707.14. Dealer's license required; exceptions; certain dealers required to register with securities and exchange commission.
- · · · [1707.14.1] 1707.141.Investment adviser's license required; exceptions; notice filing requirement/D.
- · · · [1707.14.2] 1707.142.Compliance by licensed dealers; exemptions and alternative provisions for dealers not required to register.
- 1707.15. Application for dealer's license; investigation; representative to pass examination; salespersons.
- · · · [1707.15.1] 1707.151.Application for and issuance of investment adviser's license/D.
- 1707.16. Application for and issuance of salesperson's license.
- · · · [1707.16.1] 1707.161.Investment adviser representative's license required; exceptions; application for and issuance of investment adviser representative's license/D.
- · · · [1707.16.2] 1707.162.Licensing of state retirement system investment officers; prohibitions.
- · · · [1707.16.3] 1707.163.Application for license; issuance.
- · · · [1707.16.4] 1707.164.Licensing of bureau of workers' compensation chief investment officer.
- · · · [1707.16.5] 1707.165.Application for license; issuance.
- 1707.17. Renewal; license fees.
- 1707.18. Application for transfer of license.
- 1707.19. Refusal, suspension, and revocation of license.
Procedure.
- 1707.20. Rules, forms, orders of division; immunity for good faith compliance.
- · · · [1707.20.1] 1707.201.Rule adopting federal provision.
- 1707.21. Registration statement may be filed with securities and exchange commission.
- 1707.22. Appeals; effect of order.
- 1707.23. Enforcement powers of division of securities.
- 1707.24. Contempt proceedings.
- 1707.25. Injunction against issuance, sale, acting as investment adviser, investment adviser representative, bureau of workers' compensation chief investment officer, or state retirement system investment officer.
- 1707.26. Injunction against violations.
- · · · [1707.26.1] 1707.261.Restitution or rescission to purchaser or holder of securities.
- 1707.27. Appointment of receiver.
- 1707.28. Statute of limitations.
- 1707.29. Presumption of knowledge.
- 1707.30. Certificate of division as evidence.
- 1707.31. Certified copies as evidence.
- 1707.32. Insurance securities.
- 1707.33. [Repealed]
- · · · [1707.33.1] 1707.331.[Repealed]
- 1707.34. Warehouse receipts for intoxicating liquor.
- 1707.35. Securities authorized before July 22, 1929.
- 1707.36. Attorney-inspector; control-bid attorneys.
- 1707.37. Division of securities fund.
- 1707.38. Effect of violation on validity of security.
- 1707.39. Qualification of securities sold without compliance.
- · · · [1707.39.1] 1707.391.Late application due to excusable neglect.
- 1707.40. Civil liabilities.
- 1707.41. Civil liability of seller for fraud.
- 1707.42. Civil liability of adviser.
- 1707.43. Remedies of purchaser in unlawful sale.
- · · · [1707.43.1] 1707.431.Exemptions for publicly advertised meeting.
- · · · [1707.43.2-1707.43.9] 1707.432-1707.439 Repealed.
- 1707.44. Prohibitions.
- 1707.45. Burden of proof.
- 1707.46. Commissioner of securities.
- 1707.47. [Repealed]
- 1707.48. Retention of documents and records or copies.
- 1707.99. Penalties.
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