Illinois · Regulations
Subpart H
42 sections
42 sections
- 14 Ill. Adm. Code 130.805Exemptions From Registration as an Investment Adviser Under Section 8.A of the Act
- 14 Ill. Adm. Code 130.806Acts 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
- 14 Ill. Adm. Code 130.810Procedures for Registration as a Dealer Under Section 8.B of the Act
- 14 Ill. Adm. Code 130.811Procedures for Perfecting an Investment Adviser Exemption under Section 2.11(6) of the Act (Repealed)
- 14 Ill. Adm. Code 130.820Procedures for Renewal and Withdrawal from Registration as a Dealer
- 14 Ill. Adm. Code 130.821Reporting of Dealer Branch Office Locations and Required Fees
- 14 Ill. Adm. Code 130.822Examinations 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
- 14 Ill. Adm. Code 130.823Procedure for Requesting Waiver of Dealer, Salesperson, Investment Adviser, Investment Adviser Representative, or Principal Examination Requirements
- 14 Ill. Adm. Code 130.824Financial Statements to be Filed by a Registered Dealer
- 14 Ill. Adm. Code 130.825Records Required of Dealers and Customer Fees
- 14 Ill. Adm. Code 130.826Registered Dealer Net Capital Requirements
- 14 Ill. Adm. Code 130.827Confirmations
- 14 Ill. Adm. Code 130.828Notice of Materially Adverse Financial Condition Required to Be Filed With the Securities Department By a Registered Dealer
- 14 Ill. Adm. Code 130.829Investor Protection Requirement of a Dealer Registered Under Section 8 of the Act
- 14 Ill. Adm. Code 130.830Registration Exemption for Merger and Acquisition Brokers Pursuant to Section 4(I) of the Act
- 14 Ill. Adm. Code 130.832Examinations Deemed Satisfactory for Purposes of Determining Sufficient Knowledge Under Section 8.C(7) of the Act for Registration as a Salesperson
- 14 Ill. Adm. Code 130.836Hardship Exemption
- 14 Ill. Adm. Code 130.837Transition to Electronic Filing
- 14 Ill. Adm. Code 130.838Procedures for Federal Covered Investment Adviser Notification Filing and Fees Under Section 8.C-5 of the Act
- 14 Ill. Adm. Code 130.839Procedures for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act
- 14 Ill. Adm. Code 130.840Procedures for Registration as an Investment Adviser Under Section 8.D of the Act
- 14 Ill. Adm. Code 130.841Reporting of Investment Adviser Branch Office Locations and Required Fees
- 14 Ill. Adm. Code 130.842Examinations 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
- 14 Ill. Adm. Code 130.843Examination and Education Program Requirements for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act
- 14 Ill. Adm. Code 130.844Statement 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
- 14 Ill. Adm. Code 130.845Records Required of Investment Advisers
- 14 Ill. Adm. Code 130.846Written Disclosure Statements of a Registered Investment Adviser
- 14 Ill. Adm. Code 130.847Financial and Disciplinary Information That Investment Advisers Must Disclose to Clients
- 14 Ill. Adm. Code 130.848Advertisements by Investment Advisers
- 14 Ill. Adm. Code 130.849Consumer Information Privacy Provisions
- 14 Ill. Adm. Code 130.850Account Transactions
- 14 Ill. Adm. Code 130.851Commission, Profit or Other Compensation
- 14 Ill. Adm. Code 130.852Compensation
- 14 Ill. Adm. Code 130.853Account Transactions
- 14 Ill. Adm. Code 130.854Use of the Term "Investment Counsel"
- 14 Ill. Adm. Code 130.855Use of Senior Certifications and Professional Designations
- 14 Ill. Adm. Code 130.860Additional Fees Under Section 8 of the Act
- 14 Ill. Adm. Code 130.872Procedure with Respect to Abandoned Dealer Applications
- 14 Ill. Adm. Code 130.873Procedure with Respect to Abandoned Investment Adviser Applications
- 14 Ill. Adm. Code 130.874Business Continuity and Succession Planning
- 14 Ill. Adm. Code 130.881Continuing Education Requirements for Investor Adviser Representatives
- 14 Ill. Adm. Code 130.882Examination Validity Extension Program for Investment Adviser Representatives and Salespersons