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•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)
•Instructions for Registration as a Securities Dealer (1)
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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 
 

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 
 

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 
 

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 
 

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 
 

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 
 

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