Lexis Nexis Anderson's Ohio Securities Law and Practice
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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
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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
