The purpose of this on-line record request form is to provide easy access to public information on companies and persons required to comply with the Ohio Securities Act. With regard to securities, such filings may be applications for registration, filings to claim an exemption, or notice filings. With regard to persons or firms, these records pertain to salespersons, dealers, investment advisers, or investment adviser representatives.
For records involving an enforcement matter. send a request to
In the event no record is found, it does not necessarily mean a company or person has failed to comply. Some exceptions exist for which a filing is unnecessary. You may want to contact a Division attorney for further clarification of requirements for filing with the Division of Securities.
To better serve you, please fill out one of the following forms as completely as possible. All requests will be processed upon receipt. If hard copies of files are requested, please allow 7-10 days for response by U.S. Mail.