Illinois State Library

Electronic Documents of Illinois

Search results for

Search:
Illinois Secretary of State. Securities Department in Organization [X]
rss icon RSS
Results:  21 Items
Sorted by:  
Page: 1 2  Next
SiteTitle
•Avoiding Business Opportunity Scams (1)
•Business Opportunities Sales Law of 1995 (1)
•Facts About Con Artists / Realidades De Las Estafas (1)
•Form BR Uniform Branch Office Registration Form General Instructions (1)
•Form U4 Uniform Application for Securities Industry Registration or Transfer (1)
more
Organization
•Illinois Secretary of State. Securities Department[X]
XMLRecordID
less
•000000044035 (1)
•000000044036 (1)
•000000044037 (1)
•000000044038 (1)
•000000044056 (1)
•000000044057 (1)
•000000044058 (1)
•000000044059 (1)
•000000044060 (1)
•000000044061 (1)
•000000044062 (1)
•000000044063 (1)
•000000044064 (1)
•000000044065 (1)
•000000044066 (1)
•000000044067 (1)
•000000044068 (1)
•000000044069 (1)
•000000044070 (1)
•000000044071 (1)
•000000044072 (1)
DateCreated
1:

Title:  

Instructions for Registration as a Securities Dealer

 
 Volume/Number:  2009 July 
 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:  07 06 2009 
 Agency ID:  SEC 312.3 
 ISL ID:  000000044035   Original UID: 23543 FIRST WORD: Instructions 
2:

Title:  

Form U5 Uniform Termination Notice for Securities Industry Registration General Instructions

 
 Volume/Number:  2009 May 
 Issuing Agency:   
 Description:  The Form U5 is the Uniform Termination Notice for Securities Industry Registration. 
 Date Created:  05 12 2009 
 Agency ID:  Rev. Form U5 
 ISL ID:  000000044036   Original UID: 23544 FIRST WORD: Form 
3:

Title:  

Form BR Uniform Branch Office Registration Form General Instructions

 
 Volume/Number:    
 Issuing Agency:   
 Description:  The Uniform Branch Office Registration Form (Form BR) is the form used for branch office registration, notification, closing or withdrawal. Broker-dealers and investment advisers must use this form to register or notice file their branch offices in the appropriate jurisdictions and/or with SROs. These instructions apply to the filing of Form BR electronically with the Central Registration Depository ("CRD"). Filers submitting paper filings should read the Special Instructions For Paper Filers (Jurisdictions Only) in conjunction with the other instructions to the form. 
 Date Created:  08 22 2007 
 Agency ID:  Rev. Form BR 
 ISL ID:  000000044037   Original UID: 23545 FIRST WORD: Form 
4:

Title:  

Illinois Business Brokers Act of 1995

 
 Volume/Number:  2002 February 
 Issuing Agency:   
 Description:  The Illinois Business Brokers Act of 1995, including recent amendments, effective Jan. 1, 2002. This Act provides an invaluable source of information for consumers and business brokers doing business in the state of Illinois. 
 Date Created:  04 10 2002 
 Agency ID:  Sec Pub-6.3 
 ISL ID:  000000044038   Original UID: 23546 FIRST WORD: Illinois 
5:

Title:  

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

 
 Volume/Number:  2009 July 
 Issuing Agency:   
 Description:  A listing of documents that must be filed with the Securities Department to register as a Business Broker in the State of Illinois. 
 Date Created:  07 16 2009 
 Agency ID:  SEC 315.1 
 ISL ID:  000000044056   Original UID: 23548 FIRST WORD: Information 
6:

Title:  

Business Opportunities Sales Law of 1995

 
 Volume/Number:  2007 August 
 Issuing Agency:   
 Description:  The Illinois Business Opportunity Sales Law of 1995, including recent amendments, effective Jan. 1, 2002. This Act provides an invaluable source of information for consumers and business opportunity providers doing business in the state of Illinois. 
 Date Created:  08 08 2007 
 Agency ID:  Sec Pub 7.3 
 ISL ID:  000000044057   Original UID: 23549 FIRST WORD: Business 
7:

Title:  

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

 
 Volume/Number:  2005 April 
 Issuing Agency:   
 Description:  List of information that must be filed with the Securities Department to register a Business Opportunity in the State of Illinois. 
 Date Created:  04 22 2005 
 Agency ID:  SEC 310 
 ISL ID:  000000044058   Original UID: 23551 FIRST WORD: Information 
8:

Title:  

Illinois Securities Law of 1953: effective January 1, 1954 (as amended through August 21, 2003)

 
 Volume/Number:  2004 February 
 Issuing Agency:   
 Description:  The Illinois Securities Law of 1953, including amendments through Aug. 21, 2003.This law governs the offer and sale of securities in Illinois as well as broker-dealers, salespersons, investment advisers and investment adviser representatives. 
 Date Created:  08 18 2004 
 Agency ID:   
 ISL ID:  000000044059   Original UID: 23554 FIRST WORD: Illinois 
9:

Title:  

Guide for Investment Advisors

 
 Volume/Number:  2008 June 
 Issuing Agency:   
 Description:  This booklet contains information on registration renewal, required documentation, and other information about maintaining your registration as an investment adviser and ensuring compliance with requirements of the Illinois Securities Law. 
 Date Created:  06 17 2008 
 Agency ID:  SEC 341 
 ISL ID:  000000044060   Original UID: 23556 FIRST WORD: Guide 
10:

Title:  

Form U4 Uniform Application for Securities Industry Registration or Transfer

 
 Volume/Number:  2009 May 
 Issuing Agency:   
 Description:  The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs. 
 Date Created:  05 12 2009 
 Agency ID:  Rev. Form U4 
 ISL ID:  000000044061   Original UID: 23557 FIRST WORD: Form 
11:

Title:  

Illinois Loan Brokers Act of 1995

 
 Volume/Number:  2002 March 
 Issuing Agency:   
 Description:  This booklet contains the Illinois Loan Brokers Act of 1995, including recent amendments, effective Jan. 1, 2002. This Act provides an invaluable source of information for consumers and loan brokers doing business in the state of Illinois. 
 Date Created:  04 29 2002 
 Agency ID:  Sec Pub-5.3 
 ISL ID:  000000044062   Original UID: 23558 FIRST WORD: Illinois 
12:

Title:  

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

 
 Volume/Number:  2009 July 
 Issuing Agency:   
 Description:  List or information that must be filed with the Securities Department to register as a Loan Broker in the State of Illinois. 
 Date Created:  07 16 2009 
 Agency ID:  SEC 326.2 
 ISL ID:  000000044063   Original UID: 23559 FIRST WORD: Information 
13:

Title:  

Avoiding Business Opportunity Scams

 
 Volume/Number:  2011 April 
 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:  04 20 2011 
 Agency ID:  Sec-280.3 
 ISL ID:  000000044064   Original UID: 23560 FIRST WORD: Avoiding 
14:

Title:  

Facts About Con Artists / Realidades De Las Estafas

 
 Volume/Number:  2011 August 
 Issuing Agency:   
 Description:  Consumer protection fact sheet, in English and Spanish, for avioding con artists. 
 Date Created:  08 04 2011 
 Agency ID:  SEC 343.2 
 ISL ID:  000000044065   Original UID: 23564 FIRST WORD: Facts 
15:

Title:  

How to Identify and Report Investment Fraud

 
 Volume/Number:    
 Issuing Agency:   
 Description:  Brochure for senior consumers to help identify investment fraud. 
 Date Created:  03 24 2011 
 Agency ID:  SEC 344 
 ISL ID:  000000044066   Original UID: 23566 FIRST WORD: How 
16:

Title:  

Investment Guide for Illinois Consumers

 
 Volume/Number:  2011 June 
 Issuing Agency:   
 Description:  This guide outlines investment options, tips on selecting a broker or investment adviser and the warning signs of investor fraud. Included is a checklist for investors to use when a broker calls. 
 Date Created:  06 22 2011 
 Agency ID:  SEC PUB 9.5 
 ISL ID:  000000044067   Original UID: 23567 FIRST WORD: Investment 
17:

Title:  

Loan Brokers

 
 Volume/Number:  2011 April 
 Issuing Agency:   
 Description:  Brochure about the Loan Brokers Act 
 Date Created:  04 20 2011 
 Agency ID:  Sec-284.3 
 ISL ID:  000000044068   Original UID: 23569 FIRST WORD: Loan 
18:

Title:  

Senior Citizens and Securities Fraud

 
 Volume/Number:  2010 July 
 Issuing Agency:   
 Description:  This brochure provides some useful tips that can help protect you against securities fraud. 
 Date Created:  07 14 2010 
 Agency ID:  SEC 245.10 
 ISL ID:  000000044069   Original UID: 23570 FIRST WORD: Senior 
19:

Title:  

TAPS: Troops Against Military Scams

 
 Volume/Number:  2006 April 
 Issuing Agency:   
 Description:  Brochure about TAPS a financial education program for military personnel. 
 Date Created:  04 24 2006 
 Agency ID:  SEC 336 
 ISL ID:  000000044070   Original UID: 23572 FIRST WORD: TAPS: 
20:

Title:  

Tips for Online Investors

 
 Volume/Number:  2006 January 
 Issuing Agency:   
 Description:  Brochure for Online investors. 
 Date Created:  03 06 2006 
 Agency ID:  Sec-300.2 
 ISL ID:  000000044071   Original UID: 23577 FIRST WORD: Tips 
Page: 1 2  Next