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.
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.
The Ohio Division of Securities provides Investor Alerts to keep you inform about investment frauds, scams and other issues to help protect you and your money. Read our latest Alerts.
Ohio’s Department of Health ordered Ohioans to stay home except for essential activities, government functions, or essential businesses, including financial and insurance institutions. The order is in effect through April 6, 2020, unless rescinded or modified. Read the document outlining the essential financial and insurance institutions.
The 2020 Ohio Securities Conference will be held Friday, October 16th online. The Ohio Division of Securities and the University of Toledo College of Law are partnering to provide an interactive conference on the latest issues affecting the securities industry. Click here to register.