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securities transactions

A security is a financial asset that can be bought and sold—including stocks, bonds, debentures, municipal securities, futures, and options—and a securities transaction involves the purchase, sale, redemption, or other transfer of a security.

In Ohio, securities are regulated by both state and federal law. The Ohio Securities Act governs the issuance, sale, and registration of securities within the state. This Act requires that securities offered or sold in Ohio must be registered unless they qualify for an exemption. The Ohio Division of Securities is responsible for enforcing the Act, which includes oversight of broker-dealers, investment advisors, and their representatives to protect investors from fraudulent activities. Additionally, federal laws such as the Securities Act of 1933 and the Securities Exchange Act of 1934, enforced by the U.S. Securities and Exchange Commission (SEC), also apply. These federal laws mandate the disclosure of important financial information through the registration of securities, regulate the transactions of securities professionals, and outline penalties for fraudulent activities. It is important for anyone dealing with securities transactions in Ohio to comply with both state and federal regulations to ensure the legality of their activities.

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