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 130.828 - Notice of Materially Adverse Financial Condition Required to Be Filed With the Securities Department By a Registered Dealer

Universal Citation: 14 IL Admin Code § 130.828

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

Each registered dealer which discovers it is no longer in compliance thereof with the requirements under Section 130.826 of this Part shall file a notice with the Securities Department within 24 hours of the discovery of such non-compliance. Such notification shall be made by telegraphic communication, facsimile transmission or such other means of delivery.

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