Illinois. Securities Dept.
This is a list of all documents accepted for permanent retention in the depository, in order by issuing agency.
- Avoiding Business Opportunity Scams (2007, May)
This brochure informs you about the warning signs of a business opportunity scam and what to expect when entering into a legitimate business deal. - Business brokers (2004, December)
This brochure has tips for persons selecting a business broker, selling a business and buying a business. - Checking your stockbroker or brokerage firm (2006, January)
Brochure describing the The Central Registration Depository System, a computerized database that holds licensing information on stockbrokers (or registered representatives) and brokerage firms throughout the country. It tells consumers how to request a report. - Facts about Con Artists (2009)
Fact sheet to inform consumers so they can avoid being defrauded. - FSI: Fraud Scene Investigator: educating students about financial fraud (2008)
Brochure about FSI: Fraud Scene Investigator, a new online, interactive game at www.cyberdriveillinois.com that teaches students about financial fraud. - Investment Guide for Illinois Consumers (2005)
This guide outlines investment options, tips on selecting a broker or investment adviser and the warning signs of investor fraud. Included are sections on business opportunities, loan brokers and business brokers, online trading, and a checklist for investors to use when a broker calls. - Securities - Investment Advisors
Providing Investment Advice in Illinois. Under Illinois Law, any person or a firm (investment advisor or financial planner) offering investment advice to consumers in exchange for compensation (fee or commission)--and with more than 5 clients--must be registered as an investment advisor with the Securities Department. - Securities Bulletin {periodical start}
Quarterly newsletter of the Illinois Securities Department for investor education.