Dealer Requirements: When the securities have been qualified and the fees for the qualification have been paid, any licensed dealer subsequently may sell the securities under the qualification, so long as the qualification remains in full force, and any dealer of that nature who desires may file with the division a written notice of intention to sell the securities or any designated portion of them. For that filing, no fee need be paid.

Filing Fees: $100 for all securities

Official Recognition: Yes

Forms: The U-7 Form is needed along with the U-1, U-2 and U-2(a) Forms.

Instructions: The Ohio Securities Division has a very helpful Website that includes all of their securities laws and amendments. For information regarding securities registration refer to Section 1707.09 and 1707.091 of the Ohio Securities Code.

Regulatory Contact:

Contact:
Division of Securities

Address:
77 South High Street, 22nd. Floor
Columbus OH 43215

Phone:
(614) 750-7645

Fax:
(614) 466-3316

Website:
http://www.securities.state.oh.us

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