ORC § 1707.141 and ORC § 1707.151 set out the licensing and notice filing requirements for investment advisers, while ORC § 1707.161 sets out the licensing. These web pages describe the notice filing laws of each state (and the District of Columbia) with respect to investment advisers registered with the SEC.ERISA is a federal law that sets minimum standards for retirement plans in private industry. Hold itself out generally to the public in the United States as an investment adviser. In April 2024, the DOL issued the final version of its Retirement Security Rule which imposes an ERISA fiduciary standard. An entity that is a "venture capital operating company" as defined in rule 2510.3-101(d) under ERISA.