"Dealer" shall mean a dealer licensed by the division that is not required under federal law or the law of this state to be registered as a broker or dealer with the securities and exchange commission.
With respect to any books and records maintained or preserved on behalf of[name of dealer], the undersigned hereby undertakes to permit examination of the books and records at any time or from time to time during business hours by representatives of the division, and to promptly furnish to the division true, correct, complete and current hard copy of any or all or any part of the books and records.
Agreement with an outside entity shall not relieve the dealer from the responsibility to prepare and maintain records as specified in this rule.
The undersigned hereby undertakes to maintain and preserve on behalf of [dealer name] the books and records required to be maintained and preserved by the dealer pursuant to paragraph (C) of rule 1301:6-3-15 of the Administrative Code and to permit examination of the books and records at any time or from time to time during business hours by the division, and to furnish to the division true, correct, complete, and current copies of any or all, or any part, of the books and records. This undertaking shall be binding upon the undersigned, and the successors and assigns of the undersigned.
Nothing herein contained shall be deemed to relieve the dealer from the responsibility that the books and records be accurately maintained pursuant to this rule.
Whenever there is any change in the principals, partners, officers or directors of a dealer, or any other material change from the information appearing on the original application or most recent license renewal of a dealer, the dealer shall, within thirty calendar days, notify the division in writing of the change, or changes, and shall keep a record of the change or changes. Dealers shall submit changes to the division on a paper form BD.
Ohio Admin. Code 1301:6-3-14.2
Promulgated Under: 119.03
Statutory Authority: 1707.20, 1707.142
Rule Amplifies: 1707.142
Prior Effective Dates: 01/28/2000, 11/27/2000, 08/05/2007, 01/15/2009
Promulgated Under: 119.03
Statutory Authority: 1707.20
Rule Amplifies: 1707.142
Prior Effective Dates: 1/28/00, 11/27/00