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Anderson's Ohio Securities Law and Practice, Third Edition

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Print Book :2 loose-leaf volumes; 1 softbound handbook; updated annually
ISBN: 9781593452353
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The undisputed authoritative source on Ohio's blue sky laws, this set combines the formal requirements and more informal aspects of Ohio securities practice, explaining all aspects of Ohio blue sky practice, from routine registration, exemption, and liability questions to more complex issues involving Ohio's merit requirements. Supplemented annually, it also covers specialized topics, such as Ohio broker-dealer licensing, tender offers, and enforcement issues.

Containing materials previously difficult or impossible to obtain, this set provides the full text and discussion of substantial primary source material, including:

  • Relevant Ohio statutes and rules
  • Ohio Division of Securities Statements of Policy
  • Selected federal laws and regulations
  • Complete official forms
  • NASAA guidelines and interpretations


  • The handbook volume is a complete source for all relevant Ohio and federal statutes and rules important to the practice of Ohio securities law including:

  • Page's Ohio Revised Code Annotated Chapters 1704, 1707, selected provisions of Chapter 1701 and other securities-related statutes
  • Legislative Service Commission Bill Analyses of selected securities acts
  • Ohio Division of Securities
  • Selected Ohio Department of Insurance regulations
  • Selected federal securities laws and regulations
  • Authors / Contributors

    Table of Contents

    VOLUME 1



    Chapter 1 INTRODUCTION

    Chapter 2 JURISDICTIONAL PREDICATE-OFFERS AND SALES WITHIN THE STATE

    Chapter 3 DEFINITION OF A SECURITY

    Chapter 4EXEMPT SECURITIES

    Chapter 5 TRANSACTIONAL EXEMPTIONS

    Chapter 6 REGISTRATION BY DESCRIPTION

    Chapter 7 LIMITATIONS ON COMMISSIONS AND SELLING EXPENSES FOR PURPOSES OF EXEMPTIONS AND REGISTRATION BY DESCRIPTION

    Chapter 8 REGISTRATION BY QUALIFICATION

    Chapter 9 REGISTRATION BY COORDINATION

    Chapter 10 SEC INITIATIVES AND THE OHIO BLUE SKY LAW

    Chapter 11 THE MERIT REQUIREMENTS STATUTE AND RULES

    Chapter 12 MERIT REVIEW OF GENERAL CORPORATE OFFERINGS

    Chapter 13 MERIT REVIEW OF DEBT SECURITIES OF NONPROFIT ISSUERS

    Chapter 14 MERIT REVIEW OF REAL ESTATE LIMITED PARTNERSHIP AND MORTGAGE PROGRAM OFFERINGS UNDER THE NASAA GUIDELINES

    Chapter 15 MERIT REVIEW OF REAL ESTATE INVESTMENT TRUSTS: THE NASAA GUIDELINES

    Chapter 16 MERIT REVIEW OF EQUIPMENT PROGRAM OFFERINGS: THE NASAA GUIDELINES

    Chapter 17 REGISTRATION AND MERIT REVIEW OF OIL AND GAS OFFERINGS

    Chapter 18 ASSET-BACKED SECURITIES

    Chapter 19 MERIT REVIEW OF COMMODITY POOL PROGRAMS: THE NASAA GUIDELINES

    Chapter 20 INVESTMENT COMPANY SECURITIES

    Chapter 21 MERIT REVIEW OF OTHER TYPES OF PROGRAMS

    Chapter 22 SUSPENSION OF REGISTRATION AND RELATED REMEDIES

    Chapter 23 SALE OF UNREGISTERED SECURITIES -LIABILITIES AND CURATIVE PROCEDURES

    Chapter 24 INSURANCE COMPANIES

    Chapter 25 LICENSING OF BROKER-DEALERS AND SALESPERSONS

    Chapter 26 REGULATION OF BROKER-DEALER RECORDKEEPING, REPORTING, AND    BUSINESS PRACTICES

    Chapter 27 INVESTMENT ADVISERS

    Chapter 28 STATE RETIREMENT SYSTEM INVESTMENT OFFICERS

    Chapter 29 ANTIFRAUD AND ANTIMANIPULATION PROVISIONS

    Chapter 30 ENFORCEMENT POWERS OF THE DIVISION OF SECURITIES

    Chapter 31 DIVISION OF SECURITIES: PRACTICE AND PROCEDURE

    Chapter 32 REGULATION OF TENDER OFFERS




    VOLUME 2



    APPENDIX I: SECURITIES DIVISION POLICIES AND GUIDELINES (Division Rulings and Ohio Securities Bulletin reprints)




    DIVISION RULINGS




    FAIRNESS GUIDELINES: GENERAL CORPORATE OFFERINGS





    FAIRNESS GUIDELINES: OIL AND GAS OFFERINGS





    FAIRNESS GUIDELINES: REAL ESTATE, EQUIPMENT PROGRAMS, AND OTHER PARTNERSHIP OFFERINGS





    FAIRNESS GUIDELINES: OFFERINGS BY NON-PROFIT INSTITUTIONS





    REGISTRATION: DEFINITIONS AND EXEMPTIONS





    REGISTRATION: PROCEDURES





    COMBINED REGISTRATION AND BROKER-DEALER MATTERS





    BROKER-DEALERS AND SALESPERSONS





    ADMINISTRATION AND ENFORCEMENT





    TENDER OFFERS





    INVESTMENT ADVISERS






    APPENDIX II: NASAA GUIDELINES AND INTERPRETATIONS



    REG D/ULOE INTERPRETATIONS





    REAL ESTATE PROGRAMS





    REGISTRATION OF OIL AND GAS PROGRAMS





    STATEMENT OF POLICY REGARDING REAL ESTATE INVESTMENT TRUSTS





    EQUIPMENT PROGRAMS





    CHURCH BONDS





    HEALTH CARE FACILITY OFFERINGS





    REGISTRATION OF COMMODITY POOL PROGRAMS





    OMNIBUS GUIDELINES





    STATEMENT OF POLICY FOR REGISTRATION OF ASSETBACKED SECURITIES





    STATEMENT OF POLICY REGARDING CHURCH EXTENSION FUND SECURITIES





    NASAA MORTGAGE PROGRAM GUIDELINES



    INDEX