Effective: March 31, 2021
Latest Legislation: House Bill 312 - 133rd General Assembly
In case any person fails to file any statement or report, to obey any subpoena, to give testimony, to answer questions, or to produce any books, records, or papers as required by the division of securities under sections 1707.01 to 1707.50, inclusive, of the Revised Code, the court of common pleas of any county in the state, upon application made to it by the division and upon proof made to it by the division of such failure, may make an order awarding process of subpoena or subpoena duces tecum for such person to appear and testify before the division, and may order any person to give testimony and answer questions, and to produce books, records, or papers, as required by the division. Upon the filing of such order in the office of the clerk of the court of common pleas, said clerk, under the seal of said court, shall issue process of subpoena for such person to appear before the division at a time and place named in such subpoena, and thereafter from day to day until the examination of such person is completed. Such subpoena may contain a direction that such witness bring with the witness to such examination any books, records, or papers mentioned in such subpoena. Said clerk shall also issue, under the seal of said court, such other orders, in reference to such examination, appearance, and production of books, records, or papers, as said court directs. If any person so summoned by subpoena fails to obey such subpoena, to give testimony, to answer questions as required, to produce any books, records, or papers so required, or to obey an order of the court, the court, on motion supported by proof, may order an attachment for contempt to be issued against the person charged with disobedience of any order or injunction issued by such court under sections 1707.01 to 1707.50, inclusive, of the Revised Code. If such person is brought before the court by virtue of said attachment, and if upon a hearing such disobedience appears, such court may order such offender to be committed and kept in close custody.
Structure Ohio Revised Code
Title 17 | Corporations-Partnerships
Section 1707.01 | Securities Definitions.
Section 1707.02 | Exempt Securities.
Section 1707.03 | Exempt Transactions.
Section 1707.04 | Issuance of Securities in Reorganizations.
Section 1707.041 | 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 1707.05 | Definitions.
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 1707.06 | Transactions Requiring Registration.
Section 1707.08 | Registration by Description.
Section 1707.09 | Registration by Qualification.
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 1707.131 | Refusing Registration.
Section 1707.14 | Dealer's License.
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 1707.15 | Applying for Dealer's License.
Section 1707.151 | Application for and Issuance of Investment Adviser's License.
Section 1707.16 | Application for and Issuance of Salesperson's License.
Section 1707.162 | State Retirement System Investment Adviser License Required.
Section 1707.164 | Bureau Chief Investment Officer - Securities License Required.
Section 1707.165 | Application for Bureau Chief Investment Officer - Investigation - Examination.
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 1707.201 | Federal Provisions.
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 1707.26 | Injunction Against Violations.
Section 1707.261 | Director's Request for Restitution or Rescission.
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 1707.391 | Late Applications.
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 1707.431 | Claiming Exemption for Publicly Advertised Meeting.
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 1707.471 | Restitution Assistance Awards From 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.