| | 1: | | Title: | | | | | Volume/Number: | 2002 Spring | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue:Investor Adviser Registration Depository Prime Bank Scams Investor EducationFinancial Literacy Program Securities Enforcement | | | | Date Created: | 03 25 2002 | | | | Agency ID: | | | | | ISL ID: | 000000013982 Original UID: 7824 FIRST WORD: Securities | |
| 2: | | Title: | | | | | Volume/Number: | 2002 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue: Securities Enforcement Conference Investor Education Month Audit Division Report Filing Online Through IARD Podeschi Named Employee Of The Month | | | | Date Created: | 06 12 2002 | | | | Agency ID: | | | | | ISL ID: | 000000013983 Original UID: 7825 FIRST WORD: Securities | |
| 3: | | Title: | | | | | Volume/Number: | 2002 Fall | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue: Bull Market On Fraud Investor Education In ChicagoNew Securities RulesEnforcement OrdersAudit Division Report | | | | Date Created: | 09 25 2002 | | | | Agency ID: | | | | | ISL ID: | 000000013984 Original UID: 7826 FIRST WORD: Securities | |
| 4: | | Title: | | | | | Volume/Number: | 2002 Winter | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue:Eight Illinois Brokers Charged419 Internet SchemeInvestor EducationEasier Access To Registration FormsFrom The Directors Office | | | | Date Created: | 12 2002 | | | | Agency ID: | | | | | ISL ID: | 000000013985 Original UID: 7827 FIRST WORD: Securities | |
| 5: | | Title: | | | | | Volume/Number: | 2003 Spring | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue: New Limited Registration ExemptionEnforcement ConferenceSeven Take Early RetirementAudit Division ReportLegal Notes From The Director | | | | Date Created: | 03 2003 | | | | Agency ID: | | | | | ISL ID: | 000000013986 Original UID: 7828 FIRST WORD: Securities | |
| 6: | | Title: | | | | | Volume/Number: | 2003 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue:Combating Securities Fraud Investor EducationBranch Office Reporting DeadlineEnforcement Administrative OrdersLegal Notes | | | | Date Created: | 07 11 2003 | | | | Agency ID: | | | | | ISL ID: | 000000013987 Original UID: 7830 FIRST WORD: Securities | |
| 7: | | Title: | | | | | Volume/Number: | 2003 Falll | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue:Nigerian 419 Scam; Securities Fee Increases; Investor Education; NASAA Conference Recap; Legal Notes | | | | Date Created: | 11 17 2003 | | | | Agency ID: | | | | | ISL ID: | 000000013988 Original UID: 7832 FIRST WORD: Securities | |
| 8: | | Title: | | | | | Volume/Number: | 2004 Winter | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department. In this issue:Top 10 Securities Scams; Hedge Fund Operator Guilty; Enforcement Administrative Orders; Investor Education; Harmening Named Employee of the Month | | | | Date Created: | 02 19 2004 | | | | Agency ID: | | | | | ISL ID: | 000000013990 Original UID: 7838 FIRST WORD: Securities | |
| 9: | | Title: | | | | | Volume/Number: | 2004 Spring | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue:Investment Advisor; Representative Requirements; Enforcement Administrative Orders; Certificates Of Deposit; FAQs Municipal Bonds | | | | Date Created: | 05 25 2004 | | | | Agency ID: | | | | | ISL ID: | 000000014044 Original UID: 7853 FIRST WORD: Securities | |
| 10: | | Title: | | | | | Volume/Number: | 2004 Fall | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department for investor education. In this issue:2005 Registration Renewal; FAQ Filing Requirements; Enforcement Administrative Orders; Investor Education Goes To Schools; Securities Department Offices Moved | | | | Date Created: | 11 2004 | | | | Agency ID: | | | | | ISL ID: | 000000014045 Original UID: 7854 FIRST WORD: Securities | |
| 11: | | Title: | | | | | Volume/Number: | | | | | Issuing Agency: | | | | | Description: | Quarterly newsletter of the Illinois Securities Department for investor education. | | | | Date Created: | | | | | Agency ID: | | | | | ISL ID: | 000000014458 Original UID: NA for serial records FIRST WORD: Securities | |
| 12: | | Title: | | | | | Volume/Number: | 2005 Winter | | | | Issuing Agency: | | | | | Description: | Newsletter of the Illinois Securities Department. In this issue: Promissory notes, Filing dates, Annuities FAQ, New Investor Education program targets seniors, Administrative orders and Financial Literacy 2010. | | | | Date Created: | 02 18 2005 | | | | Agency ID: | | | | | ISL ID: | 000000014755 Original UID: 7873 FIRST WORD: Securities | |
| 13: | | Title: | | | | | Volume/Number: | 2008 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. This issue has items on investigating auction rate securities, warning about 'senior specialists,' Investor Education summer outreach, Administrative Enforcement Orders, a successfully prosecuted fraud case, searching for registration status, Investment Adviser Requirements, defining Broker-dealer branch offices, and Securities Publications. | | | | Date Created: | 07 01 2008 | | | | Agency ID: | | | | | ISL ID: | 000000022653 Original UID: 11435 FIRST WORD: Securities | |
| 14: | | Title: | | | | | Volume/Number: | 2008 Spring | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. This issue has items on NASAA sets pro-investor legislative priorities, Investor Education, FSI: New tool for teaching fraud awareness to students, Margin Accounts, Dealer and Investment Adviser Renewals, and Enforcement Administrative Orders. | | | | Date Created: | 03 06 2008 | | | | Agency ID: | | | | | ISL ID: | 000000022654 Original UID: 11436 FIRST WORD: Securities | |
| 15: | | Title: | | | | | Volume/Number: | 2007 Fall | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue are items on Sterling man sentenced for $8 million fraud, Investor Education at the Illinois State Fair, Talking with parents about investment fraud, Enforcement Administrative Orders, Investment adviser reminders, Free Investor Education materials, and a Memoriam for Tom E. Coffelt | | | | Date Created: | 11 14 2007 | | | | Agency ID: | | | | | ISL ID: | 000000022655 Original UID: 11437 FIRST WORD: Securities | |
| 16: | | Title: | | | | | Volume/Number: | 2007 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. This issue has items on Top 10 Securities Scams 2007, Foreign currency contracts, Petrilli sentenced to 63 months, IAR registration requirements, Enforcement Administrative Orders, SEC expands definition of covered securities, Securities Department employees honored, | | | | Date Created: | 06 22 2007 | | | | Agency ID: | | | | | ISL ID: | 000000022656 Original UID: 11438 FIRST WORD: Securities | |
| 17: | | Title: | | | | | Volume/Number: | 2007 Winter | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Monitor online accounts carefully, Waukegan financial advisor sentenced for defrauding elderly, Enforcement Administrative Orders, Investor Education reaches students through simulcasts, Investigators surprised by alligators and sharks, | | | | Date Created: | 01 25 2007 | | | | Agency ID: | | | | | ISL ID: | 000000022657 Original UID: 11439 FIRST WORD: Securities | |
| 18: | | Title: | | | | | Volume/Number: | 2006 Summer | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Naperville man convicted on 15 counts of fraud, Dont Get Scammed campaign launched, Switching from state to SEC-registered status, senior specialist, Enforcement Administrative Orders, Financial Regulators Fair at Thompson Center, New branch office definition adopted | | | | Date Created: | 07 13 2006 | | | | Agency ID: | | | | | ISL ID: | 000000022658 Original UID: 11440 FIRST WORD: Securities | |
| 19: | | Title: | | | | | Volume/Number: | 2006 Winter | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Investment preacher sentenced to prison, Calling all Senior Centers, Internet and E-mail Scams, Troops Against Predatory Scams, Enforcement Administrative Orders, CRD at a Glance keeps firms up to date, Renewals hit record levels for 2006, | | | | Date Created: | 02 17 2006 | | | | Agency ID: | | | | | ISL ID: | 000000022659 Original UID: 11441 FIRST WORD: Securities | |
| 20: | | Title: | | | | | Volume/Number: | 2005 Fall | | | | Issuing Agency: | | | | | Description: | Newsletter for investors. In this issue: Be aware of Hurricane Katrina-related scams, Securities Department integral in prosecution of recent fraud cases, Quick access to investment adviser information, Regulatory Agencies, Enforcement Administrative Orders, New edition of Investment Guide now available, Key Filing Dates for 2006 | | | | Date Created: | 10 06 2005 | | | | Agency ID: | | | | | ISL ID: | 000000022660 Original UID: 11442 FIRST WORD: Securities | |
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