Andrea Seidt is a national leader in state securities regulation through her role with the North American Securities Administrators Association. Seidt has served as Commissioner of Securities since 2008. Prior to her appointment, she worked on investor and consumer protection litigation as Deputy Chief Counsel for the Ohio Attorney General’s Office. She has also worked in private practice. Seidt received her undergraduate and law degrees from The Ohio State University.
Ohio’s laws regarding mandatory reporting of suspected elder abuse and financial exploitation have again been revised. Additional securities professionals are now required to comply. Read more about who is affected and what the responsibilities include.
The Ohio Department of Commerce focuses on safeguarding Ohio’s citizens, and through the Division of Securities we help protect older Ohioans from elder financial abuse by regulating securities professionals and products. Read these tips on how to avoid becoming a victim of financial fraud.
Ohio State-Licensed Investment Advisers are not required to complete Form CRS/ADV Part 3. Instructions to Form CRS/ADV Part 3 state that broker-dealers registered under section 15 of the Exchange Act and investment advisers registered under section 203 of the Investment Advisers Act of 1940 (i.e., SEC-registered investment advisers) are required to deliver to retail investors a Form CRS/ADV Part 3. Click here to download the form’s instructions.
A sold-out crowd enjoyed the 2019 Ohio Securities Conference. Planning for 2020 has already begun, so watch this space for information and details. We’ve updated the presentations page with some additional content not available prior to the event. Click here for all the content provided by our presenters.
Ohio law prohibits Commerce from licensing individuals who’ve been convicted of certain criminal offenses. The law requires Commerce to provide a list of those convictions to the public. Read that list here, and request a pre-determination to see if your conviction disqualifies you.
The Division reminds all dealers, investment advisers, and their associated licensees that all 2020 Renewal Fees must be paid by funding the firm’s CRD/IARD E-Bill renewal accounts no later than Dec. 16, 2019 to avoid license termination effective Jan. 1, 2020. Click here for details on the IARD renewal program Click here for FINRA’s annual renewal information