| Securities

  1. Law
  2. Ohio Revised Code
  3. | Corporations-Partnerships
  4. | Securities

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Section
1707.01

| Securities Definitions.

Section
1707.02

| Exempt Securities.

Section
1707.03

| Exempt Transactions.

Section
1707.04

| Issuance of Securities in Reorganizations.

Section
1707.05

| Definitions.

Section
1707.06

| Transactions Requiring Registration.

Section
1707.08

| Registration by Description.

Section
1707.09

| Registration by Qualification.

Section
1707.041

| Control Bids Made Pursuant to Tender Offer or Request or Invitation for Tenders.

Section
1707.042

| Prohibited Acts Relating to Control Bids.

Section
1707.043

| Preventing Manipulative Practices.

Section
1707.051

| Offerings-Securities Registration Exemption.

Section
1707.052

| Offerings-Disclosure to Purchasers.

Section
1707.053

| Offerings-Certification From Purchasers.

Section
1707.054

| Portal Operators-License.

Section
1707.055

| Portal Operators-Prohibited Conduct for Non-Dealer Operators.

Section
1707.056

| Portal Operators-Oversight, Purchase Limits, and Purchaser Privacy.

Section
1707.057

| Portal Operators-Record Keeping Requirements.

Section
1707.058

| Issuers-Disqualification From Registration Exemption.

Section
1707.091

| Registration by Coordination.

Section
1707.092

| Notice Filings.

Section
1707.093

| Electronic Filings.

Section
1707.10

| Provisional Registration by Qualification.

Section
1707.11

| Consent to Service.

Section
1707.12

| Documents Open to Inspection.

Section
1707.13

| Suspension and Revocation of Registration.

Section
1707.14

| Dealer's License.

Section
1707.15

| Applying for Dealer's License.

Section
1707.16

| Application for and Issuance of Salesperson's License.

Section
1707.17

| Renewal - License Fees.

Section
1707.18

| Application for Transfer of License.

Section
1707.19

| Refusal, Suspension, and Revocation of License.

Section
1707.20

| Adopting, Amending, and Rescinding Rules, Forms, and Orders.

Section
1707.21

| Registration Statement May Be Filed With Securities and Exchange Commission.

Section
1707.22

| Appeals - Effect of Order.

Section
1707.23

| Division of Securities - Enforcement Powers.

Section
1707.24

| Contempt Proceedings.

Section
1707.25

| Injunction Against Issuance, Sale, Acting as an Investment Adviser or Acting as an Investment Adviser Representative.

Section
1707.26

| Injunction Against Violations.

Section
1707.27

| Appointment of Receiver.

Section
1707.28

| Statute of Limitations.

Section
1707.29

| Presumption of Knowledge.

Section
1707.30

| Certificate of Division as Evidence.

Section
1707.31

| Certified Copies as Evidence.

Section
1707.32

| Insurance Securities.

Section
1707.34

| Warehouse Receipts for Intoxicating Liquor.

Section
1707.35

| Securities Authorized Before July 22, 1929.

Section
1707.36

| Attorney-Inspector - Control-Bid Attorneys.

Section
1707.37

| Division of Securities Fund.

Section
1707.38

| Effect of Violation on Validity of Security.

Section
1707.39

| Qualification of Securities Sold Without Compliance.

Section
1707.40

| Civil Liabilities.

Section
1707.41

| Civil Liability of Seller for Fraud.

Section
1707.42

| Civil Liability of Adviser.

Section
1707.43

| Remedies of Purchaser in Unlawful Sale.

Section
1707.44

| Prohibited Acts.

Section
1707.45

| Burden of Proof.

Section
1707.46

| Duties of Commissioner of Securities.

Section
1707.47

| Ohio Investor Recovery Fund.

Section
1707.48

| Division of Securities to Retain Documents and Records or Copies.

Section
1707.49

| Reporting Elder Financial Exploitation.

Section
1707.50

| Violations, Penalties, and Private Rights of Action.

Section
1707.99

| Penalty.

Section
1707.131

| Refusing Registration.

Section
1707.141

| Investment Adviser's License Required - Exceptions - Notice Filing Requirement.

Section
1707.142

| Compliance With Federal Laws - Federal Documents to Be Filed With Division.

Section
1707.151

| Application for and Issuance of Investment Adviser's License.

Section
1707.161

| Investment Adviser Representative's License Required - Exceptions - Application for and Issuance of Investment Adviser Representative's License.

Section
1707.162

| State Retirement System Investment Adviser License Required.

Section
1707.163

| Application for and Issuance of State Retirement System Investment Adviser License.

Section
1707.164

| Bureau Chief Investment Officer - Securities License Required.

Section
1707.165

| Application for Bureau Chief Investment Officer - Investigation - Examination.

Section
1707.201

| Federal Provisions.

Section
1707.261

| Director's Request for Restitution or Rescission.

Section
1707.391

| Late Applications.

Section
1707.431

| Claiming Exemption for Publicly Advertised Meeting.

Section
1707.471

| Restitution Assistance Awards From Ohio Investor Recovery Fund.