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•Information Regarding Filing a Registration as a Loan Broker Under Section 15-15 of the Illinois Loan Brokers Act of 1995 (1)
•Instructions for Registration as an Investment Adviser (1)
•Investment Guide for Illinois Consumers (1)
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•000000059881 (1)
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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 
 

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:  

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