Corporate & Securities Law

By Jim Hamilton

Ohio Proposes Electronic Filing Rule for Investment Company and Rule 506 Offerings and Prohibition Against Senior-Specific Professional Designations

Rule changes proposed bythe Ohio Securities Division would permit investment companies andRule 506 issuers to make electronic filings, prohibit industry personsfrom using certain senior-specific professional designations, requireinvestment advisers to file Part II of Form ADV, clarify an investmentadviser's use of the IARD and CRD, retitle the NASDAQ to be consistentwith federal nomenclature, add the NASDAQ to the exchange listing exemption and substitute "FINRA" for "NASD."

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Full post as published by Jim Hamilton's World of Securities Regulation on November 13, 2008 (boomark / email).