Ohio Admin. Code 742-10-02

Current through all regulations passed and filed through October 28, 2024

Section 742-10-02 - Qualified investment manager

(A) For the purposes of division (A)(4) of section 742.114 and section 742.116 of the Revised Code, an investment manager may be designated as an "Ohio-qualified investment manager" if the investment manager and/or any parent, affiliates, or subsidiaries of the investment manager meets the requirements of divisions (A)(1) and (A)(2) of section 742.116 of the Revised Code.

(B) For purposes of sections 742.114 and 742.116 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.

Ohio Admin. Code 742-10-02

Five Year Review (FYR) Dates: 2/5/2024 and 02/05/2029
Promulgated Under: 111.15
Statutory Authority: 742.10
Rule Amplifies: 742.114, 742.116
Prior Effective Dates: 09/26/2005, 10/04/2010, 01/17/2016

Five Year Review (FYR) Dates: 3/6/2020 and 01/04/2024
Promulgated Under: 111.15
Statutory Authority: 742.10
Rule Amplifies: 742.114, 742.116
Prior Effective Dates: 09/26/2005, 10/04/2010, 01/17/2016