Illinois State Library

Electronic Documents of Illinois


Search results for

Search:
S* in FirstOrganization [X]
Secretary of State, Securities Department in Organization [X]
rss icon RSS
Results:  16 Items
Sorted by:  
Page: 1
Organization
Secretary of State, Securities Department[X]
XMLRecordID
000000022653 (1)
000000022654 (1)
000000022655 (1)
000000022656 (1)
000000022657 (1)
DateCreated
1:

Title:  

Securities Bulletin

 
 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 
2:

Title:  

Securities Bulletin

 
 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 
3:

Title:  

Securities Bulletin

 
 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 
4:

Title:  

Securities Bulletin

 
 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 
5:

Title:  

Securities Bulletin

 
 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 
6:

Title:  

Securities Bulletin

 
 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 
7:

Title:  

Securities Bulletin

 
 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 
8:

Title:  

Securities Bulletin

 
 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 
9:

Title:  

Securities Bulletin

 
 Volume/Number:  2005 Spring/Summer 
 Issuing Agency:   
 Description:  Newsletter for investors. In this issue: Top 10 Threats to Illinois Investors2005, Broker/dealer branch office reporting deadline June 30, Researching your Broker or Investment Adviser, Enforcement Administrative Orders, Administrative Orders now available online, Investor Education reaches out to more than 2,100 Illinois students, Lions, Kiwanis, Rotary Club members, 
 Date Created:  06 06 2005 
 Agency ID:   
 ISL ID:  000000022661   Original UID: 11443 FIRST WORD: Securities 
10:

Title:  

Avoiding Business Opportunity Scams

 
 Volume/Number:  2007 May 
 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:  05 01 2007 
 Agency ID:   
 ISL ID:  000000022666   Original UID: 11459 FIRST WORD: Avoiding 
11:

Title:  

Business brokers

 
 Volume/Number:  2004 December 
 Issuing Agency:   
 Description:  This brochure has tips for persons selecting a business broker, selling a business and buying a business. 
 Date Created:  12 02 2004 
 Agency ID:   
 ISL ID:  000000022667   Original UID: 11460 FIRST WORD: Business 
12:

Title:  

Checking your stockbroker or brokerage firm

 
 Volume/Number:  2006 January 
 Issuing Agency:   
 Description:  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. 
 Date Created:  03 06 2006 
 Agency ID:   
 ISL ID:  000000022668   Original UID: 11461 FIRST WORD: Checking 
13:

Title:  

Facts about Con Artists

 
 Volume/Number:  2009  
 Issuing Agency:   
 Description:  Fact sheet to inform consumers so they can avoid being defrauded. 
 Date Created:  10 30 2009 
 Agency ID:   
 ISL ID:  000000022680   Original UID: 11473 FIRST WORD: Facts 
14:

Title:  

FSI: Fraud Scene Investigator: educating students about financial fraud

 
 Volume/Number:  2008  
 Issuing Agency:   
 Description:  Brochure about FSI: Fraud Scene Investigator, a new online, interactive game at www.cyberdriveillinois.com that teaches students about financial fraud. 
 Date Created:  06 25 2008 
 Agency ID:   
 ISL ID:  000000022682   Original UID: 11475 FIRST WORD: FSI: 
15:

Title:  

Investment Guide for Illinois Consumers

 
 Volume/Number:  2005  
 Issuing Agency:   
 Description:  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. 
 Date Created:  09 30 2005 
 Agency ID:   
 ISL ID:  000000022683   Original UID: 11476 FIRST WORD: Investment 
16:

Title:  

Investment Guide for Illinois Consumers

 
 Volume/Number:    
 Issuing Agency:   
 Description:  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. 
 Date Created:   
 Agency ID:   
 ISL ID:  000000025132   Original UID: NA for serial records FIRST WORD: Investment