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The Division of Securities administers and enforces the Ohio Securities Act, licensing professionals and registering securities offered for sale to Ohioans.
that are operating in Ohio must comply with the Act’s notice filing requirements. Investment advisers operating in Ohio that are not registered with the SEC must be licensed by the Division, subject to four limited exceptions.
The Division licenses broker-dealers, securities salespersons, investment advisers, investment adviser representatives and investment officers. The Division also registers securities offered for sale to Ohioans. Please click on the launch button to learn more.
Registration of Securities. The Ohio Securities Act requires all securities sold in Ohio be registered with the Division or be properly exempted. Exemptions are listed in the Ohio Securities Act, R.C. 1707.02 and 1707.03.
simplified introduction to Ohio’s securities laws. There are state and federal laws that apply to securities transactions, and violations of these laws can lead to serious civil and criminal liability. As a result, transactions in and dispositions of securities should be carried out only after consultation with competent legal counsel.
Does a securities salesperson or dealer have to be licensed by the Division before selling securities in Ohio? Yes, salespersons and dealers must be licensed by the Division or properly exempted from licensure. Keep in mind that "selling" includes soliciting securities purchases.
The work of the Division falls into 3 main areas: overseeing the licensing of securities salespersons, dealers, investment advisers and investment adviser representatives; ensuring that securities sold in Ohio are registered or properly exempted; and. investigating alleged violations of the Ohio Securities Act and enforcing its provisions.
