Effective: September 13, 1999
Latest Legislation: House Bill 6 - 123rd General Assembly
(A) There is hereby created in the division of securities a position to be known as attorney-inspector, which shall be held only by an attorney at law. The duties of this position are to investigate and report upon all complaints and alleged violations of this chapter or rules adopted under this chapter by the division and to represent the division in prosecutions and other matters arising from such complaints and alleged violations.
The office of the attorney-inspector is hereby designated a criminal justice agency in investigating reported violations of law relating to securities and investment advice, and as such is authorized by this state to apply for access to the computerized databases administered by the national crime information center or the law enforcement automated data system in Ohio, and to other computerized databases administered for the purpose of making criminal justice information accessible to state criminal justice agencies.
(B) There is hereby created in the division of securities two positions to be known as control-bid attorneys, which shall be held only by attorneys at law. The duties of these positions are to investigate and report upon all matters relating to control-bids and related matters and to represent the division in the regulatory matters arising under the Ohio control-bid law.
(C) The attorney-inspector and each control-bid attorney shall be paid at a rate not less than pay range 47 set out in schedule E-2 of section 124.152 of the Revised Code, to be paid as other operating expenses of the division.
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.