Ohio law

Securities & Finance Laws in Ohio.

Federal securities law ('33 Act, '34 Act, '40 Act) is administered by the SEC. Ohio supplements with the Ohio Securities Act (Ohio Rev. Code Chapter 1707), administered by the Ohio Division of Securities within the Ohio Department of Commerce. The Act governs registration of securities (where not federally preempted), broker-dealers, investment advisers, and agents, and provides state anti-fraud remedies. Ohio's Division of Securities has a reputation for active enforcement particularly in affinity fraud and elder financial exploitation cases.

Last verified: 2026-04-17

State law

Key Ohio Statutes

Ohio Securities ActOhio Rev. Code Chapter 1707

Governs registration of securities and of broker-dealers, investment advisers, and agents.

Anti-Fraud ProvisionOhio Rev. Code § 1707.44

Prohibits schemes to defraud, material misstatements or omissions, and fraudulent or deceitful practices in connection with securities transactions.

Civil LiabilityOhio Rev. Code § 1707.43

Buyers of securities sold in violation of the Act may sue for rescission. Subject to 2-year discovery / 5-year repose.

State law

Official Sources

Ohio Division of Securities U.S. SEC

Not Legal Advice

This page summarizes publicly available statutes and rules for informational purposes only. It does not constitute legal advice, and no attorney-client relationship is created by viewing this content. Laws change — always verify with the primary source or consult a licensed attorney in Ohio.

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Securities & Finance Laws in Ohio.

Key Ohio Statutes

Official Sources

Not Legal Advice

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