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 130.821 - Reporting of Dealer Branch Office Locations and Required Fees

Universal Citation: 14 IL Admin Code ยง 130.821

Current through Register Vol. 48, No. 12, March 22, 2024

a) Each applicant for registration as a dealer shall file Form BR on the CRD system setting forth the address of each branch office in this State as defined in Section 130.280. The applicant for registration as a dealer shall pay the fee in the amount specified in Section 130.110 for each branch office in this State.

b) Each registered dealer shall file or have filed Form BR on the CRD system on or before December 31 annually setting forth the address of each branch office and pay to the Securities Department in Springfield a fee in the form and amount specified in Section 130.110 for each branch office in this State.

c) No registration of a dealer shall become effective until a separate Form BR of the dealer's branch offices in this State, if any, has been filed on the CRD system and the fee, if any, has been paid.

d) The registered dealer shall amend its application for registration by filing on the CRD system an amended Form BR or initial Form BR within 10 business days after:

1) the opening of any branch office in this State not previously reported; and

2) the closing of any branch office in this State.

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