Andrea Seidt is a national leader in state securities regulation through her role with the North American Securities Administrators Association. Seidt has served as Commissioner of Securities since 2008. Prior to her appointment, she worked on investor and consumer protection litigation as Deputy Chief Counsel for the Ohio Attorney General’s Office. She has also worked in private practice. Seidt received her undergraduate and law degrees from The Ohio State University.
The “Reporting Elder Financial Exploitation” law mandates reporting to the Division of Securities and the appropriate county Department of Job and Family Services by dealers, investment advisers, and their agents. Click here here for details about the requirement and a link to the online reporting form.
New rule changes starting Sept. 30, 2021, will affect Ohio licensees. Click here for rule changes affecting Investment Advisers or Click here for rule changes affecting Salespersons and Investment Adviser Representatives Licensees and Applicants.
This year’s conference is over but you can still visit our conference website to review the materials provided by our presenters. We hope to post the video recordings from the day’s event soon, so be sure to check back.
The Ohio Department of Commerce focuses on safeguarding Ohio’s citizens, and through the Division of Securities we help protect older Ohioans from elder financial abuse by regulating securities professionals and products. Read these tips on how to avoid becoming a victim of financial fraud.
The Ohio Division of Securities provides Investor Alerts to keep you inform about investment frauds, scams and other issues to help protect you and your money. Read our latest Alerts.