Ohio Admin. Code 3309-1-06

Current through all regulations passed and filed through December 2, 2024

Section 3309-1-06 - Ohio-qualified agents and investment managers

(A) For purposes of division (A)(4) of section 3309.157 and section 3309.159 of the Revised Code, an investment manager may be designated as an "Ohio-qualified investment manager" if the investment manager and/or any parents, affiliates, or subsidiaries of the investment manager meets the requirements of divisions (A)(1) and (A)(2) of section 3309.159 of the Revised Code.

(B) For purposes of sections 3309.157 and 3309.159 of the Revised Code, "principal place of business" includes an office in which the agent or investment manager regularly provides securities or investment advisory services and solicits, meets with, or otherwise communicates with clients.

Five Year Review (FYR) Dates: 2/1/2024 and 02/01/2029
Promulgated Under: 111.15
Statutory Authority: 3309.04
Rule Amplifies: 3309.157, 3309.159
Prior Effective Dates: 04/10/2005, 04/01/2016

Five Year Review (FYR) Dates: 2/1/2019 and 02/01/2024
Promulgated Under: 111.15
Statutory Authority: 3309.04
Rule Amplifies: 3309.157, 3309.159
Prior Effective Dates: 04/10/2005, 04/01/2016