Search results
If you determine that you meet the definition of an Investment Adviser under Ohio law and that you are required to be licensed, you need to take steps to become licensed. • Determine the legal status of your firm. The most common structures are Corporation, Sole Proprietorship (see the section of this Handbook titled
- Securities
The Division of Securities administers and enforces the Ohio...
- Securities
The Division of Securities administers and enforces the Ohio Securities Act, licensing professionals and registering securities offered for sale to Ohioans.
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.
Financial & Bonding Requirements. All IAs are required to remain solvent. Audited financial statements are required if an IA has custody of client funds or securities and the IA alone sends account statements to clients.
On September 30, 2021, new statutes EFFECTIVE and rules governing 9/30/21 Ohio securities salesperson and investment adviser representative applicants and licensees take effect. Please review the following summaries highlighting some of the key changes.
NEW RULES GOVERNING INVESTMENT ADVISERS – EFFECTIVE 9/30/21. On September 30, 2021, new laws and rules governing Ohio licensees take effect. Please review the following highlighting some of the key changes impacting investment advisers. Links to the laws and rules are provided below.
30 wrz 2021 · (a) the uniform investment adviser law exam (series 65); or (b) the securities industry essentials exam (SIE), the general securities representative exam (series 7), and the uniform combined state law exam (series 66);
