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 130.820 - Procedures for Renewal and Withdrawal from Registration as a Dealer
Current through Register Vol. 48, No. 12, March 22, 2024
a) If a registered dealer elects to withdraw its registration in this State, it shall file a Form BDW with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA, indicating its intent.
b) If a registered dealer wishes to renew its registration, it shall file the renewal fee as specified in Section 130.110 with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA. Any amended Form BD shall also be filed with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA, within 30 days if any material changes occur in the information that was filed with the Securities Department when the dealer applied for registration.
