• Anderson's Ohio Securities Law and Practice, Third Edition
 
 
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Anderson's Ohio Securities Law and Practice, Third Edition

Anderson's Ohio Securities Law and Practice, Third Edition

The undisputed authoritative source on Ohio's blue sky laws, this set combines ...


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    The undisputed authoritative source on Ohio's blue sky laws, this set combines the formal requirements and more informal aspects of Ohio securities practice, explaining all aspects of Ohio blue sky practice, from routine registration, exemption, and liability questions to more complex issues involving Ohio's merit requirements. Supplemented annually, it also covers specialized topics, such as Ohio broker-dealer licensing, tender offers, and enforcement issues.

    Containing materials previously difficult or impossible to obtain, this set provides the full text and discussion of substantial primary source material, including:

  • Relevant Ohio statutes and rules
  • Ohio Division of Securities Statements of Policy
  • Selected federal laws and regulations
  • Complete official forms
  • NASAA guidelines and interpretations


    • The handbook volume is a complete source for all relevant Ohio and federal statutes and rules important to the practice of Ohio securities law including:

  • Page's Ohio Revised Code Annotated Chapters 1704, 1707, selected provisions of Chapter 1701 and other securities-related statutes
  • Legislative Service Commission Bill Analyses of selected securities acts
  • Ohio Division of Securities
  • Selected Ohio Department of Insurance regulations
  • Selected federal securities laws and regulations

    • VOLUME 1

    Chapter 1 INTRODUCTION
    Chapter 2 JURISDICTIONAL PREDICATE-OFFERS AND SALES WITHIN THE STATE
    Chapter 3 DEFINITION OF A SECURITY
    Chapter 4EXEMPT SECURITIES
    Chapter 5 TRANSACTIONAL EXEMPTIONS
    Chapter 6 REGISTRATION BY DESCRIPTION
    Chapter 7 LIMITATIONS ON COMMISSIONS AND SELLING EXPENSES FOR PURPOSES OF EXEMPTIONS AND REGISTRATION BY DESCRIPTION
    Chapter 8 REGISTRATION BY QUALIFICATION
    Chapter 9 REGISTRATION BY COORDINATION
    Chapter 10 SEC INITIATIVES AND THE OHIO BLUE SKY LAW
    Chapter 11 THE MERIT REQUIREMENTS STATUTE AND RULES
    Chapter 12 MERIT REVIEW OF GENERAL CORPORATE OFFERINGS
    Chapter 13 MERIT REVIEW OF DEBT SECURITIES OF NONPROFIT ISSUERS
    Chapter 14 MERIT REVIEW OF REAL ESTATE LIMITED PARTNERSHIP AND MORTGAGE PROGRAM OFFERINGS UNDER THE NASAA GUIDELINES
    Chapter 15 MERIT REVIEW OF REAL ESTATE INVESTMENT TRUSTS: THE NASAA GUIDELINES
    Chapter 16 MERIT REVIEW OF EQUIPMENT PROGRAM OFFERINGS: THE NASAA GUIDELINES
    Chapter 17 REGISTRATION AND MERIT REVIEW OF OIL AND GAS OFFERINGS
    Chapter 18 ASSET-BACKED SECURITIES
    Chapter 19 MERIT REVIEW OF COMMODITY POOL PROGRAMS: THE NASAA GUIDELINES
    Chapter 20 INVESTMENT COMPANY SECURITIES
    Chapter 21 MERIT REVIEW OF OTHER TYPES OF PROGRAMS
    Chapter 22 SUSPENSION OF REGISTRATION AND RELATED REMEDIES
    Chapter 23 SALE OF UNREGISTERED SECURITIES LIABILITIES AND CURATIVE PROCEDURES
    Chapter 24 INSURANCE COMPANIES
    Chapter 25 LICENSING OF BROKER-DEALERS AND SALESMEN
    Chapter 26 REGULATION OF BROKER-DEALER RECORDKEEPING, REPORTING, AND BUSINESS PRACTICES
    Chapter 27 INVESTMENT ADVISERS
    Chapter 28 STATE RETIREMENT SYSTEM INVESTMENT OFFICERS
    Chapter 29 ANTIFRAUD AND ANTIMANIPULATION PROVISIONS
    Chapter 30 ENFORCEMENT POWERS OF THE DIVISION OF SECURITIES
    Chapter 31 DIVISION OF SECURITIES: PRACTICE AND PROCEDURE
    Chapter 32 REGULATION OF TENDER OFFERS

    VOLUME 2

    APPENDIX I: SECURITIES DIVISION POLICIES AND GUIDELINES (Division Rulings and Ohio Securities Bulletin reprints)

    DIVISION RULINGS

    FAIRNESS GUIDELINES: GENERAL CORPORATE OFFERINGS

    FAIRNESS GUIDELINES: OIL AND GAS OFFERINGS

    FAIRNESS GUIDELINES: REAL ESTATE, EQUIPMENT PROGRAMS, AND OTHER PARTNERSHIP OFFERINGS

    FAIRNESS GUIDELINES: OFFERINGS BY NON-PROFIT INSTITUTIONS

    REGISTRATION: DEFINITIONS AND EXEMPTIONS

    REGISTRATION: PROCEDURES

    COMBINED REGISTRATION AND BROKER-DEALER MATTERS

    BROKER-DEALERS AND SALESPERSONS

    ADMINISTRATION AND ENFORCEMENT

    TENDER OFFERS

    INVESTMENT ADVISERS

    APPENDIX II: NASAA GUIDELINES AND INTERPRETATIONS

    REG D/ULOE INTERPRETATIONS

    REAL ESTATE PROGRAMS

    REGISTRATION OF OIL AND GAS PROGRAMS

    STATEMENT OF POLICY REGARDING REAL ESTATE INVESTMENT TRUSTS

    EQUIPMENT PROGRAMS

    CHURCH BONDS

    HEALTH CARE FACILITY OFFERINGS

    REGISTRATION OF COMMODITY POOL PROGRAMS

    OMNIBUS GUIDELINES

    STATEMENT OF POLICY FOR REGISTRATION OF ASSETBACKED SECURITIES

    STATEMENT OF POLICY REGARDING CHURCH EXTENSION FUND SECURITIES

    NASAA MORTGAGE PROGRAM GUIDELINES

    INDEX

     

    Howard D. Friedman


    Howard D. Friedman is Distinguished University Professor of Law and Director of the Cybersecurities Law Institute at the University of Toledo. His primary teaching areas include Corporate Law, Securities Regulation, Business Associations and Constitutional Law. Before entering teaching, Professor Friedman was employed as an attorney with the Securities and Exchange Commission in Washington, D.C. Professor Friedman has been active with the Ohio State Bar Association, currently serving on its Corporation Law Committee and chairing its Securities Law Subcommittee.

     

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