Ohio Admin. Code 1301:6-3-12 - Documents open to inspection

Current through all regulations passed and filed through December 3, 2021

(A) For purposes of division (B) of section 1707.12 of the Revised Code, information obtained by the division through any offering materials filed with the division in connection with exempt transactions under division divisions (Q) and (W) of section 1707.03 of the Revised Code or through any investigation may be made available by the division for inspection by the "Financial Industry Regulatory Authority."
(B) For purposes of division (C) of section 1707.12 of the Revised Code, confidential law enforcement investigatory records and trial preparation records of the division or any other law enforcement or administrative agency in the possession of the division may be made available by the division for inspection by the "Financial Industry Regulatory Authority."

Notes

Ohio Admin. Code 1301:6-3-12
Effective: 9/30/2021
Five Year Review (FYR) Dates: 5/6/2021 and 07/10/2026
Promulgated Under: 119.03
Statutory Authority: 1707.20
Rule Amplifies: 1707.12
Prior Effective Dates: 08/31/2003, 01/15/2009

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