Illinois Administrative Code
Title 14 - COMMERCE
Part 130 - REGULATIONS UNDER ILLINOIS SECURITIES LAW OF 1953
Subpart H - REGISTRATION OF DEALERS, SALESPERSONS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- Section 130.805 - Exemptions From Registration as an Investment Adviser Under Section 8.A of the Act
- Section 130.806 - Acts Not Requiring a Notification Filing of a Federal Covered Investment Adviser or Registration as an Investment Adviser or Investment Adviser Representative Under Section 8 of the Act
- Section 130.810 - Procedures for Registration as a Dealer Under Section 8.B of the Act
- Section 130.811 - Procedures for Perfecting an Investment Adviser Exemption under Section 2.11(6) of the Act (Repealed)
- Section 130.820 - Procedures for Renewal and Withdrawal from Registration as a Dealer
- Section 130.821 - Reporting of Dealer Branch Office Locations and Required Fees
- Section 130.822 - Examinations Deemed Satisfactory for Purposes of Determining Sufficient Knowledge of Each Principal Under Section 8.B(9)(a) of the Act Prior to Registration as a Dealer
- Section 130.823 - Procedure for Requesting Waiver of Dealer, Salesperson, Investment Adviser, Investment Adviser Representative, or Principal Examination Requirements
- Section 130.824 - Financial Statements to be Filed by a Registered Dealer
- Section 130.825 - Records Required of Dealers and Customer Fees
- Section 130.826 - Registered Dealer Net Capital Requirements
- Section 130.827 - Confirmations
- Section 130.828 - Notice of Materially Adverse Financial Condition Required to Be Filed With the Securities Department By a Registered Dealer
- Section 130.829 - Investor Protection Requirement of a Dealer Registered Under Section 8 of the Act
- Section 130.830 - Registration Exemption for Merger and Acquisition Brokers Pursuant to Section 4(I) of the Act
- Section 130.832 - Examinations Deemed Satisfactory for Purposes of Determining Sufficient Knowledge Under Section 8.C(7) of the Act for Registration as a Salesperson
- Section 130.836 - Hardship Exemption
- Section 130.837 - Transition to Electronic Filing
- Section 130.838 - Procedures for Federal Covered Investment Adviser Notification Filing and Fees Under Section 8.C-5 of the Act
- Section 130.839 - Procedures for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act
- Section 130.840 - Procedures for Registration as an Investment Adviser Under Section 8.D of the Act
- Section 130.841 - Reporting of Investment Adviser Branch Office Locations and Required Fees
- Section 130.842 - Examinations and Education Programs Deemed Satisfactory for Purposes of Determining Sufficient Knowledge for Each Principal Under Section 8.D.(9) of the Act Prior to Registration as an Investment Adviser
- Section 130.843 - Examination and Education Program Requirements for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act
- Section 130.844 - Statement of Financial Condition to Be Filed By a Registered Investment Adviser Which Retains Custody of Client's Cash or Securities or Accepts Pre-Payment of Fees in Excess of $500.00 Per Client and Six (6) or More Months in Advance and Interim Financial Statements
- Section 130.845 - Records Required of Investment Advisers
- Section 130.846 - Written Disclosure Statements of a Registered Investment Adviser
- Section 130.847 - Financial and Disciplinary Information That Investment Advisers Must Disclose to Clients
- Section 130.848 - Advertisements by Investment Advisers
- Section 130.849 - Consumer Information Privacy Provisions
- Section 130.850 - Account Transactions
- Section 130.851 - Commission, Profit or Other Compensation
- Section 130.852 - Compensation
- Section 130.853 - Account Transactions
- Section 130.854 - Use of the Term "Investment Counsel"
- Section 130.855 - Use of Senior Certifications and Professional Designations
- Section 130.860 - Additional Fees Under Section 8 of the Act
- Section 130.872 - Procedure with Respect to Abandoned Dealer Applications
- Section 130.873 - Procedure with Respect to Abandoned Investment Adviser Applications
- Section 130.874 - Business Continuity and Succession Planning
Disclaimer: These regulations may not be the most recent version. Illinois may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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