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 130.851 - Commission, Profit or Other Compensation
Universal Citation: 14 IL Admin Code ยง 130.851
Current through Register Vol. 48, No. 12, March 22, 2024
No dealer shall charge or receive a commission, profit or other compensation in connection with an order for the sale or purchase of securities unless the securities are exempt or are sold in exempt transactions or are registered under the provisions of the Act.
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