What is the difference between a notice filing and an application for licensure?
Those investment advisors registered with the SEC must submit a notice filing to the Division unless they have an exception or exemption from filing. Those investment advisors who are not eligible to register with the SEC must submit an application for licensure in Ohio unless they have an exception from filing. The difference between a notice filing and an application is that with the notice filing, the investment advisor is merely informing Ohio that the selfsame investment advisor is operating in the State, whereas with an application, the investment advisor is requesting permission to operate in Ohio.
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