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•Avoiding Business Opportunity Scams (1)
•Information Regarding Filing a Registration as a Business Broker Under Section 10-10 of the Illinois Business Brokers Act of 1995 (1)
•Information Regarding Filing a Registration as a Loan Broker Under Section 15-15 of the Illinois Loan Brokers Act of 1995 (1)
•Information Regarding Filing a Registration for a Business Opportunity Under Section 5-25 & 5-30 of the Business Opportunity Sales Law of 1995 (1)
•Information Regarding the Filing of Reports of Sale Under Section 4.G of the Illinois Securities Law in 1953 (1)
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•000000060846 (1)
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•000000061107 (1)
•000000061108 (1)
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1:

Title:  

Investment Guide for Illinois Consumers

 
 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:  

Information Regarding Filing a Registration as a Loan Broker Under Section 15-15 of the Illinois Loan Brokers Act of 1995

 
 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:  

Instructions for Registration as an Investment Adviser

 
 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 
4:

Title:  

Information Regarding Filing a Registration as a Business Broker Under Section 10-10 of the Illinois Business Brokers Act of 1995

 
 Volume/Number:  2015 November 
 Issuing Agency:   
 Description:  The following documents must be filed with the Securities Department to register as a Business Broker in the State of Illinois. 
 Date Created:  11-30-2015 
 Agency ID:  SEC 315.2 
 ISL ID:  000000060750   Original UID: 181582 FIRST WORD: Information 
5:

Title:  

Instructions for Registration as a Securities Dealer

 
 Volume/Number:  2015 November 
 Issuing Agency:   
 Description:  To begin the process of registration as a securities dealer in the State of Illinois, an applicant must file the following forms and fees in the manner described with either the Financial Industry Regulatory Authority (FINRA) or the Illinois Securities Department. 
 Date Created:  11-30-2015 
 Agency ID:  SEC 312.4 
 ISL ID:  000000060751   Original UID: 181583 FIRST WORD: Instructions 
6:

Title:  

Information Regarding Filing a Registration for a Business Opportunity Under Section 5-25 & 5-30 of the Business Opportunity Sales Law of 1995

 
 Volume/Number:  2015 November 
 Issuing Agency:   
 Description:  The following information must be filed with the Securities Department to register a Business Opportunity in the State of Illinois. 
 Date Created:  11-30-2015 
 Agency ID:  SEC 310.1 
 ISL ID:  000000060752   Original UID: 181584 FIRST WORD: Information 
7:

Title:  

Loan Brokers

 
 Volume/Number:  2015 November 
 Issuing Agency:   
 Description:  The Securities Department ensures that the loan broker industry complies with all laws and regulations set forth by the state of Illinois through enforcement of the Illinois Loan Brokers Act of 1995. 
 Date Created:  11-30-2015 
 Agency ID:  Sec 284.4 
 ISL ID:  000000060845   Original UID: 181593 FIRST WORD: Loan 
8:

Title:  

Avoiding Business Opportunity Scams

 
 Volume/Number:  2015 November 
 Issuing Agency:   
 Description:  This brochure informs you about the warning signs of a business opportunity scam and what to expect when entering into a legitimate business deal. 
 Date Created:  11-30-2015 
 Agency ID:  Sec 280.4 
 ISL ID:  000000060846   Original UID: 181594 FIRST WORD: Avoiding 
9:

Title:  

Information Regarding the Filing of Reports of Sale Under Section 4.G of the Illinois Securities Law in 1953

 
 Volume/Number:  2015 November 
 Issuing Agency:   
 Description:  The issuer, controlling person or dealer shall file one copy of the Report of Sale with the Securities Department. 
 Date Created:  12-01-2015 
 Agency ID:  Sec 330.1 
 ISL ID:  000000061094   Original UID: 181645 FIRST WORD: Information 
10:

Title:  

Tips For Online Investors

 
 Volume/Number:  2015 December 
 Issuing Agency:   
 Description:  As more investors explore the Internet for personal financial management and investing, it is important to remember that it is just a tool. 
 Date Created:  12-07-2015 
 Agency ID:  Sec-300.3 
 ISL ID:  000000061107   Original UID: 181658 FIRST WORD: Tips 
11:

Title:  

Checking your Stockbroker or Brokerage Firm

 
 Volume/Number:  2015 December 
 Issuing Agency:   
 Description:  The Central Registration Depository System (CRD) is a computerized database that holds licencing information on more than on more than 600,000 stockbrokers (or registered representatives) and more than 6,000 brokerage firms throughout the country. 
 Date Created:  12-02-2015 
 Agency ID:  Sec 286.2 
 ISL ID:  000000061108   Original UID: 181659 FIRST WORD: Checking