reglab/housing_qa huggingface dataset:
Ohio Rev Code § 1707.16 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.16 | Application for and Issuance of Salesperson's License.

Effective: September 16, 2003|Latest Legislation:  House Bill 7 - 125th General Assembly|(A) Every salesperson of securities must be licensed by the division of securities and shall be employed, authorized, or appointed only by the licensed dealer specified in the salesperson's license. If the relationship between the salesperson and the dealer is severed, the salesperson's license shall be void.(B) Application for a salesperson's license shall be made in accordance with this section and by filing with the division the information, materials, and forms specified in rules adopted by the division, along with all of the following information:(1) The name and complete residence and business addresses of the applicant;(2) The name of the dealer who is employing the applicant or who intends to employ the applicant;(3) The applicant's age and education, and the applicant's experience in the sale of securities; whether the applicant has ever been licensed by the division, and if so, when; whether the applicant has ever been refused a license by the division; and whether the applicant has ever been licensed or refused a license or any similar permit by any division or commissioner of securities, whatsoever name known or designated, anywhere.(C) The division shall by rule require an applicant to pass an examination designated by the division.(D) If the division finds that the applicant is of good business repute, appears to be qualified to act as a salesperson of securities, and has fully complied with this chapter, and that the dealer named in the application is a licensed dealer, the division shall, upon payment of the fees prescribed by section 1707.17 of the Revised Code, issue a license to the applicant authorizing the applicant to act as salesperson for the dealer named in the application.
Ohio Rev Code § 1707.162 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.162 | State Retirement System Investment Adviser License Required.

Effective: December 14, 2004|Latest Legislation:  Senate Bill 133 - 125th General Assembly|(A) No person shall act as a state retirement system investment officer unless the person is licensed as a state retirement system investment officer by the division of securities.(B) No state retirement system investment officer shall act as a dealer, salesperson, investment advisor, or investment advisor representative.
Ohio Rev Code § 1707.163 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.163 | Application for and Issuance of State Retirement System Investment Adviser License.

Effective: September 15, 2004|Latest Legislation:  Senate Bill 133 - 125th General Assembly|(A) Application for a state retirement system investment officer's license shall be made in accordance with this section by filing with the division of securities the information, materials, and forms specified in rules adopted by the division.(B)(1) The division may investigate any applicant for a license and may require any additional information as it considers necessary to determine the applicant's business repute and qualifications to act as an investment officer.(2) If the application for a state retirement system investment officer's license involves investigation outside of this state, the applicant may be required by the division to advance sufficient funds to pay any of the actual expenses of the investigation. The division shall furnish the applicant with an itemized statement of the expenses the applicant is required to pay.(C) The division shall by rule require an applicant for a state retirement system investment officer's license to pass an examination designated by the division or achieve a specified professional designation unless the applicant meets both of the following requirements: (1) Acts as a state retirement system investment officer on the effective date of this section;(2) Has experience or equivalent education acceptable to the division.(D) If the division finds that the applicant is of good business repute, appears to be qualified to act as a state retirement system investment officer, and has complied with this chapter and rules adopted under this chapter by the division, the division, on payment of the fees prescribed by division (B) of section 1707.17 of the Revised Code, shall issue to the applicant a license authorizing the applicant to act as a state retirement system investment officer.
Ohio Rev Code § 1707.164 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.164 | Bureau Chief Investment Officer - Securities License Required.

Effective: September 29, 2005|Latest Legislation:  House Bill 66 - 126th General Assembly|(A) No person shall act as a bureau of workers' compensation chief investment officer unless the person is licensed as a bureau of workers' compensation chief investment officer by the division of securities.(B) No bureau of workers' compensation chief investment officer shall act as a dealer, salesperson, investment advisor, or investment advisor representative.
Ohio Rev Code § 1707.165 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.165 | Application for Bureau Chief Investment Officer - Investigation - Examination.

Effective: September 29, 2005|Latest Legislation:  House Bill 66 - 126th General Assembly|(A) Application for a bureau of workers' compensation chief investment officer's license shall be made in accordance with this section by filing with the division of securities the information, materials, and forms specified in rules adopted by the division.(B) The division may investigate any applicant for a license and may require any additional information as it considers necessary to determine the applicant's business repute and qualifications to act as a chief investment officer. If the application for a bureau of workers' compensation chief investment officer's license involves investigation outside of this state, the applicant may be required by the division to advance sufficient funds to pay any of the actual expenses of the investigation. The division shall furnish the applicant with an itemized statement of the expenses the applicant is required to pay.(C) The division shall by rule require an applicant for a bureau of workers' compensation chief investment officer's license to pass an examination designated by the division or achieve a specified professional designation unless the applicant meets both of the following requirements:(1) Acts as a bureau of workers' compensation chief investment officer on the effective date of this section;(2) Has experience or education acceptable to the division.(D) If the division finds that the applicant is of good business repute, appears to be qualified to act as a bureau of workers' compensation chief investment officer, and has complied with this chapter and rules adopted by the division under this chapter, the division, upon receipt of the fees prescribed by division (B) of section 1707.17 of the Revised Code, shall issue to the applicant a license authorizing the applicant to act as a bureau of workers' compensation chief investment officer.
Ohio Rev Code § 1707.18 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.18 | Application for Transfer of License.

Effective: October 16, 2009|Latest Legislation:  House Bill 1 - 128th General Assembly|(A)(1) If a partnership licensed as a dealer is terminated under the laws of the state where the partnership is organized, or by death, resignation, withdrawal, or addition of a general partner, the license of the partnership shall be automatically extended for a period of thirty days after the termination. The license of the partnership and the licenses of its salespersons may be transferred to the successor partnership within that period if the division of securities finds that the successor partnership is substantially similar to its predecessor partnership, and if an application for transfer of license has been filed. The fee for such a transfer shall be fifty dollars, plus fifteen dollars for every salesperson's license that is transferred. (2) If a partnership licensed as an investment adviser is terminated under the laws of the state where the partnership is organized, or by death, resignation, withdrawal, or addition of a general partner, the license of the partnership shall be automatically extended for a period of thirty days after the termination. The license of the partnership shall, and the licenses of its investment adviser representatives may, be transferred to the successor partnership within that period if the division finds that the successor partnership is substantially similar to its predecessor partnership, and if an application for transfer of license has been filed. The fee for such transfer shall be fifty dollars, plus fifteen dollars for every investment adviser representative's license that is transferred.(B)(1) If a licensed dealer changes its business form, reincorporates, or by merger or otherwise becomes a different person, as person is defined in section 1707.01 of the Revised Code, upon application the division may transfer the dealer's license and the licenses of its salespersons to the successor entity, if the division finds that the successor entity is substantially similar to the predecessor entity. The fee for such a transfer shall be fifty dollars plus fifteen dollars for every salesperson's license transferred.(2) If a licensed investment adviser changes its business form, reincorporates, or by merger or otherwise becomes a different person, as person is defined in section 1707.01 of the Revised Code, upon application, the division may transfer the investment adviser license and the licenses of its investment adviser representatives to the successor entity, if the division finds that the successor entity is substantially similar to the predecessor entity. The fee for the transfer shall be fifty dollars plus fifteen dollars for every investment adviser representative's license transferred.
Ohio Rev Code § 1707.201 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.201 | Federal Provisions.

Effective: June 18, 2002|Latest Legislation:  Senate Bill 138 - 124th General Assembly|Notwithstanding any provision of the Revised Code, if the "Securities Act of 1933," the "Securities Exchange Act of 1934," the "Investment Company Act of 1940," the "Investment Advisers Act of 1940," and any amendments to any of those federal acts, if any rule, regulation, release, statement, or position promulgated or adopted under the authority of any of those federal acts, and any amendments to those federal acts, or if any rule, regulation, or guideline of a self-regulatory organization registered under the "Securities Exchange Act of 1934," and any amendments to that act, contains a provision that is not contained in this chapter or the rules adopted under this chapter and that affects any matter within the scope of this chapter, the division of securities by rule may promulgate a similar provision.A rule adopted under the authority granted in this section becomes effective on the later of the date on which the division issues the rule or the date on which the federal statute or the rule, regulation, release, statement, or position on which the division's rule is based becomes effective. The division, upon thirty days' written notice, may revoke any rule adopted under the authority granted in this section. A rule adopted under the authority granted in this section, and not revoked by the commissioner of securities, lapses and has no further force and effect eighteen months after the rule's effective date.
Ohio Rev Code § 1707.21 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.21 | Registration Statement May Be Filed With Securities and Exchange Commission.

Effective: March 31, 2021|Latest Legislation:  House Bill 312 - 133rd General Assembly|In so far as any information required to be filed with the division of securities under sections 1707.01 to 1707.50, inclusive, of the Revised Code, is contained in a registration statement filed with the securities and exchange commission of the United States and such registration statement is in effect, such required information may, with the consent of the division, be furnished by filing with the division a copy of such registration statement together with an affidavit of an interested party that it is in effect.
Ohio Rev Code § 1707.22 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.22 | Appeals - Effect of Order.

Effective: September 29, 2005|Latest Legislation:  House Bill 66 - 126th General Assembly|Whenever a dealer's, salesperson's, investment adviser's, investment adviser representative's, bureau of workers' compensation chief investment officer's, or state retirement system investment officer's license has been refused, suspended, or revoked, or a renewal thereof has been denied, by the division of securities, or whenever the division has refused to qualify securities or has suspended or revoked the registration of any particular security by description or by qualification, or the right to buy, sell, or deal in any particular security whether it is registered or qualified or exempt, or whether the transactions in it are registered or exempt, the aggrieved party may appeal in accordance with Chapter 119. of the Revised Code.An order sustaining the refusal of the division to grant or renew a dealer's, salesperson's, investment adviser's, investment adviser representative's, bureau of workers' compensation chief investment officer's, or state retirement system investment officer's license or to grant qualification of securities, or an order sustaining the division in suspending or revoking a dealer's, salesperson's, investment adviser's, investment adviser representative's, bureau of workers' compensation chief investment officer's, or state retirement system investment officer's license, the registration of any particular security by description or by qualification, or the right to buy, sell, or deal in any particular security, shall not bar, after ten days from the order, a new registration by description, or a new application of the plaintiff for such a license or qualification or for a withdrawal of a revocation or suspension; nor shall an order in favor of the plaintiff prevent the division, after proper notice and hearing, from thereafter revoking or suspending such license, registration, or right to buy, sell, or deal in a particular security, for any proper cause which may, after the order, accrue or be discovered.
Ohio Rev Code § 1707.24 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.24 | Contempt Proceedings.

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.
Ohio Rev Code § 1707.25 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.25 | Injunction Against Issuance, Sale, Acting as an Investment Adviser or Acting as an Investment Adviser Representative.

Effective: March 31, 2021|Latest Legislation:  House Bill 312 - 133rd General Assembly|In case any person fails to file any statement or report required by sections 1707.01 to 1707.50 of the Revised Code, to obey any subpoena the issuance of which is provided for in those sections, or to produce books, records, or papers, give testimony, or answer questions, as required by those sections, the director of commerce may apply to a court of common pleas of any county for, and upon proof of such failure the court may grant, an injunction restraining the acting as an investment adviser, investment adviser representative, bureau of workers' compensation chief investment officer, or state retirement system investment officer, or the issuance, sale, or offer for sale of any securities by the person or by its agents, employees, partners, officers, directors, or shareholders, until such failure has been remedied and other relief as the facts may warrant has been had. Such injunctive relief is available in addition to the other remedies provided for in sections 1707.01 to 1707.50 of the Revised Code. Where the person refusing to comply with such order of court is an issuer of securities, the court may enjoin the sale by any dealer of any securities of the issuer, and the division of securities may revoke the qualification of the securities of the issuer, or suspend or revoke the sale of any securities of the issuer which have been registered by description, and such securities shall not thereafter be sold by any dealer until the order of the court or of the division is withdrawn.
Ohio Rev Code § 1707.26 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.26 | Injunction Against Violations.

Effective: March 31, 2021|Latest Legislation:  House Bill 312 - 133rd General Assembly|Whenever it appears to the division of securities, upon complaint or otherwise, that any person has engaged in, is engaging in, or is about to engage in, any deceptive, fraudulent, or manipulative act, practice, or transaction, in violation of sections 1707.01 to 1707.50 of the Revised Code, the director of commerce may apply to a court of common pleas of any county in this state for, and upon proof of any of such offenses such court shall grant an injunction restraining such person and its agents, employees, partners, officers, directors, and shareholders from continuing, engaging in, or doing any acts in furtherance of, such acts, practices, or transactions, and may order such other equitable relief as the facts warrant.
Ohio Rev Code § 1707.27 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.27 | Appointment of Receiver.

Effective: March 31, 2021|Latest Legislation:  House Bill 312 - 133rd General Assembly|If the court of common pleas is satisfied with the sufficiency of the application for a receivership, and of the sufficiency of the proof of substantial violation of sections 1707.01 to 1707.50 of the Revised Code, or of the use of any act, practice, or transaction declared to be illegal or prohibited, or defined as fraudulent by those sections or rules adopted under those sections by the division of securities, to the material prejudice of a purchaser or holder of securities, or client of an investment adviser or investment adviser representative, the court may appoint a receiver, for any person so violating sections 1707.01 to 1707.50 of the Revised Code or rules adopted under those sections by the division, with power to sue for, collect, receive, and take into the receiver's possession all the books, records, and papers of the person and all rights, credits, property, and choses in action acquired by the person by means of any such act, practice, or transaction, and also all property with which the property has been mingled, if the property cannot be identified in kind because of the commingling, and with power to sell, convey, and assign the property, and to hold and dispose of the proceeds under the direction of the court of common pleas. The court shall have jurisdiction of all questions arising in the proceedings and may make orders and decrees therein as justice and equity require.
Ohio Rev Code § 1707.28 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.28 | Statute of Limitations.

Effective: March 31, 2021|Latest Legislation:  House Bill 312 - 133rd General Assembly|No prosecution or action by the division of securities or the director of commerce for a violation of any provision of sections 1707.01 to 1707.50 of the Revised Code shall bar any prosecution or action by the division of securities or the director of commerce, or be barred by any prosecution or other action, for the violation of any other provision of any of those sections or of any other statute; but prosecutions and actions by the division of securities or the director of commerce for a violation of any provision of sections 1707.01 to 1707.50 of the Revised Code must be commenced within five years after the commission of the alleged violation.
Ohio Rev Code § 1707.29 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.29 | Presumption of Knowledge.

Effective: March 31, 2021|Latest Legislation:  House Bill 312 - 133rd General Assembly|In any prosecution brought under sections 1707.01 to 1707.50 of the Revised Code, except prosecutions brought for violation of division (A) of section 1707.042 of the Revised Code, the accused shall be deemed to have had knowledge of any matter of fact, where in the exercise of reasonable diligence, the accused should, prior to the alleged commission of the offense in question, have secured such knowledge.
Ohio Rev Code § 1707.30 (2021)
2021 Ohio Revised Code|Title 17 | Corporations-Partnerships|Chapter 1707 | Securities|Section 1707.30 | Certificate of Division as Evidence.

Effective: March 31, 2021|Latest Legislation:  House Bill 312 - 133rd General Assembly|In any prosecution, action, or proceeding based upon sections 1707.01 to 1707.50, inclusive, of the Revised Code, a certificate signed by the division of securities, showing the filing of or the failure to file any statement, description, or application required by such sections, shall constitute prima-facie evidence of such filing or of such failure to file, and shall be admissible in evidence in any action at law or in equity to enforce sections 1707.01 to 1707.50, inclusive, of the Revised Code, or to prosecute violations of such sections.