Ohio Administrative Code|Chapter 1301:6-3 | Registration of Securities; Licensing

Rule 1301:6-3-01 | Definitions.

Rule 1301:6-3-02 | Exempt securities.

Rule 1301:6-3-03 | Exempt transactions.

Rule 1301:6-3-04.1 | Control bids.

Rule 1301:6-3-06 | Transactions registered by description.

Rule 1301:6-3-08 | Registration by description.

Rule 1301:6-3-09 | Registration by qualification.

Rule 1301:6-3-09.1 | Registration by coordination.

Rule 1301:6-3-09.3 | Electronic filings.

Rule 1301:6-3-12 | Documents open to inspection.

Rule 1301:6-3-13 | Withdrawal of application or notice filing.

Rule 1301:6-3-14 | Exceptions to dealer license and securities and exchange commission registration requirements.

Rule 1301:6-3-14.1 | Notice filing for certain investment advisers; duty to update.

Rule 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.

Rule 1301:6-3-15 | Application for securities dealer license; responsibilities of licensed securities dealer.

Rule 1301:6-3-15.1 | Application for investment adviser's license; responsibilities of licensed investment adviser.

Rule 1301:6-3-16 | Application for salesperson's license; updating.

Rule 1301:6-3-16.1 | Application for an investment adviser representative's license.

Rule 1301:6-3-16.3 | Application for a state retirement system investment officer's license.

Rule 1301:6-3-16.5 | Application for a bureau of workers' compensation chief investment officer license.

Rule 1301:6-3-19 | Deceptive practices and good business repute.

Rule 1301:6-3-23 | Enforcement powers.

Rule 1301:6-3-39.1 | Retroactive exemption, qualification or registration.

Rule 1301:6-3-44 | Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions.

Rule 1301:6-3-48 | Records retention.

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