Authenticated Rule 1301:6-3-16.1, effective July 19, 2026, requires Form U4 through CRD, the statutory fee, and fingerprints unless the stated current-approved-status exception applies. Qualification is Series 65 or SIE+Series 7+Series 66 within two years, recent IAR registration, or a listed good-standing designation. The rule governs MQP, EVEP up to five years, twelve annual EVEP CE credits, and a veteran/spouse CE-extension provision. The affiliated adviser files; renewal is through CRD.
Closure source: authenticated Ohio Rule 1301:6-3-16.1 (https://codes.ohio.gov/ohio-administrative-code/rule-1301%3A6-3-16.1).
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; exam passage alone is not registration.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application fee
- Authenticated Rule 1301:6-3-16.1, effective July 19, 2026, requires Form U4 through CRD, the statutory fee, and fingerprints unless the stated current-approved-status exception applies.
- Application channel / system
- Authenticated Rule 1301:6-3-16.1, effective July 19, 2026, requires Form U4 through CRD, the statutory fee, and fingerprints unless the stated current-approved-status exception applies.
- Official application reference
- https://codes.ohio.gov/ohio-administrative-code/rule-1301:6-3-16.1
Renewal & maintenance
- CE hours
- FINRA, state, and firm continuing-education duties depend on effective registrations and current rules.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and approval are separate.
Military / veteran / spouse
- Military experience / education credit
- No broad military credit is asserted unless expressly documented.
Source governance
- Primary authoritative source
- https://codes.ohio.gov/ohio-administrative-code/rule-1301:6-3-16.1
- Last verified date
- 2026-08-26
- Verification status
- Verified
- Review / recheck date
- 2026-09-26
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