INVESTMENT INFODISCLAIMER
PLEASE CALL US AT 1-800-547-7888 IF YOU HAVE INVESTMENT QUESTIONS SPECIFIC TO YOUR NEEDS.
ANY ADVICE CONCERNING INVESTMENTS IS STRICTLY PROHIBETED ON OUR BLOGS.
By law, our firm may distribute information on available products or services on or through the Internet or similar electronic medium provided that:
(a) The distribution of information is not specifically directed to any person in this state;
(b) The distribution of information consists solely of the dissemination of general information
regarding products and services;
(c) The distribution of information contains a legend, which clearly states that:
(i) The person may only act as a dealer or salesperson in this state if the person is first licensed by the division or properly excepted from licensure; and
(ii) Follow-up individualized responses by the person in this state that involve acting as a dealer or salesperson will not be made unless the person is first licensed by the division or properly excepted from licensure;
(d) The distribution of information contains a mechanism, including but not limited to, a technical “firewall” or other implemented policies and procedures, designed to reasonably ensure that prior to any direct communication resulting from the distribution of information, the person is first licensed by the division or properly excepted from licensure;
(e) In the case of distribution of information by a person who would qualify as a “salesman” as defined in division (F) of section 1707.01 of the Revised Code, in addition to the foregoing:
(i) The dealer with whom the person is associated is prominently disclosed in the distribution of information;
(ii) The dealer with whom the person is associated retains responsibility for reviewing and approving the content of the distribution of information;
(iii) The dealer with whom the person is associated first authorizes the distribution of information; and
(iv) The distribution of information within the scope of authority granted to the person by the dealer with whom the person is associated.
PLEASE CALL US AT 1-800-547-7888 IF YOU HAVE INVESTMENT QUESTIONS SPECIFIC TO YOUR NEEDS.
ANY ADVICE CONCERNING INVESTMENTS IS STRICTLY PROHIBETED ON OUR BLOGS.
By law, our firm may distribute information on available products or services on or through the Internet or similar electronic medium provided that:
(a) The distribution of information is not specifically directed to any person in this state;
(b) The distribution of information consists solely of the dissemination of general information
regarding products and services;
(c) The distribution of information contains a legend, which clearly states that:
(i) The person may only act as a dealer or salesperson in this state if the person is first licensed by the division or properly excepted from licensure; and
(ii) Follow-up individualized responses by the person in this state that involve acting as a dealer or salesperson will not be made unless the person is first licensed by the division or properly excepted from licensure;
(d) The distribution of information contains a mechanism, including but not limited to, a technical “firewall” or other implemented policies and procedures, designed to reasonably ensure that prior to any direct communication resulting from the distribution of information, the person is first licensed by the division or properly excepted from licensure;
(e) In the case of distribution of information by a person who would qualify as a “salesman” as defined in division (F) of section 1707.01 of the Revised Code, in addition to the foregoing:
(i) The dealer with whom the person is associated is prominently disclosed in the distribution of information;
(ii) The dealer with whom the person is associated retains responsibility for reviewing and approving the content of the distribution of information;
(iii) The dealer with whom the person is associated first authorizes the distribution of information; and
(iv) The distribution of information within the scope of authority granted to the person by the dealer with whom the person is associated.
