Organization | • | Illinois Secretary of State, Securities Department | [X] |
| | 1: | | Title: | | | | | Volume/Number: | 2015 November | | | | Issuing Agency: | | | | | Description: | Under Illinois law, any person of a firm offering investment advice to consumers in exchange for compensation and with more than five clients must be registered as an investment adviser with the Illinois Securities Department. | | | | Date Created: | 12-07-2015 | | | | Agency ID: | SEC PUB 9.6 | | | | ISL ID: | 000000058925 Original UID: 180139 FIRST WORD: Investment | |
| 2: | | Title: | | | | | Volume/Number: | 2015 November | | | | Issuing Agency: | | | | | Description: | The following information must be filed with the Securities Department to register as a Loan Broker in the State of Illinois. | | | | Date Created: | 11-30-2015 | | | | Agency ID: | SEC 26.3 | | | | ISL ID: | 000000059881 Original UID: 181243 FIRST WORD: Information | |
| 3: | | Title: | | | | | Volume/Number: | 2015 November | | | | Issuing Agency: | | | | | Description: | To begin the process of registration as an investment adviser in the State of Illinois, an applicant must file the following forms and fees with the Financial Industry Regulatory Authority (FINRA) and the Illinois Securities Department. | | | | Date Created: | 11-30-2015 | | | | Agency ID: | SEC 320.5 | | | | ISL ID: | 000000059882 Original UID: 181244 FIRST WORD: Instructions | |
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