Commerce Division of Securities : Offering


Ohio law requires a filing with the Ohio Division of Securities for the initial sale of most securities in Ohio. There are three categories of these filings: exemption, registration and notice filings. However, not all sales of securities in Ohio require a filing, and it is possible to comply with the Ohio Securities Act without submitting a filing to the Division. As a result, ERNIE reflects only those securities sold pursuant to those provisions of Ohio laws that require a filing with the Division.

The lack of a filing with the Division is not necessarily a sign of illegality. But, it should cause you to inquire about compliance with the securities laws.

The receipt of a filing or the approval of an application for registration by the Division is not a Division endorsement or guarantee of the securities, and is not an indication that the investment will be a good one.

ERNIE contains only summaries of the information contained in filings submitted to the Division. If you want a complete copy of the filing, a certification of a filing or a certification of no filing, please click here and complete the following form.

Certificates of Acknowledgement for Notice Filings are available for printing by locating the filing in ERNIE and clicking on the "print certificate" option for the selected filing. The certificate will contain the most current description regarding the registration itself and the funds that have been received for same. Verification of all funds received by the Division is available for all filings by clicking on the "view payment" option for each filing.

Under Ohio law, Division records are retained for a period of eight years and are then destroyed. Therefore, ERNIE goes back only eight years.

ERNIE is updated nightly. If you are seeking information regarding a "new" offering and fail to find information, you may wish to check again in a few days.

If you have any questions, please contact the Ohio Division of Securities.

If you understand and agree with this disclaimer, please click here to search ERNIE.