Illinois · Regulations
Subpart B
30 sections
30 sections
- 14 Ill. Adm. Code 130.200Definitions of Terms Used in the Act and the Rules
- 14 Ill. Adm. Code 130.201Definition of the Term "Investment Contract", as Used in Section 2.1 of the Act
- 14 Ill. Adm. Code 130.202Definition of the Term "Fractional Undivided Interest", as Used in Section 2.1 of the Act with Reference to Oil and/or Gas Leases, Rights or Royalties
- 14 Ill. Adm. Code 130.205Definition of the Term "Issuer" as Used in Section 2.2 of the Act as Applied to Fractional Interests in Oil, Gas and Other Mineral Leases, Rights or Royalties
- 14 Ill. Adm. Code 130.210Definition of Acts Not Constituting a "Sale" or "Offer" as Used in Section 2.5 or 2.5a of the Act
- 14 Ill. Adm. Code 130.211Definition of Acts Not Constituting an "Offer" of Securities under Section 5, 6, 7 or 8 of the Act
- 14 Ill. Adm. Code 130.212Definition of Acts Not Constituting an "Offer" Under Section 2.5a of the Act (Testing the Waters)
- 14 Ill. Adm. Code 130.215Definition of "Commission From an Underwriter or Dealer Not in Excess of the Usual and Customary Distributors' or Sellers' Commissions", as Used in Section 2.6 of the Act for Certain Transactions
- 14 Ill. Adm. Code 130.216Definition of "Participates" and "Participation", as Used in Section 2.6 of the Act in Relation to Certain Transactions
- 14 Ill. Adm. Code 130.220Definition of "Regularly Engaged in Securities Sales Activities", as Used in Section 2.9 of the Act
- 14 Ill. Adm. Code 130.221Exclusion of Certain Persons from the Definition of Investment Adviser in Section 2.11 of the Act
- 14 Ill. Adm. Code 130.225Definition of "Investment Fund Shares", as Used in Section 2.15 of the Act in Relation to Certain Issuers
- 14 Ill. Adm. Code 130.233Definition of the Phrase "Promissory Note or Draft, Bill of Exchange or Bankers' Acceptance" as Used in Section 3(L) of the Act
- 14 Ill. Adm. Code 130.234Definition, For Certain Purposes, of the Terms "Employee Security-Purchase Plan", "Employee Profit-Sharing Trust or Plan", "Employee Pension Trust or Plan", as Used in Section 3.N and Section 3.O of the Act (Repealed)
- 14 Ill. Adm. Code 130.235Definition, For Certain Purposes, of the Terms "Employee Profit-Sharing Trust or Plan", "Employee Pension Trust or Plan", as Used in Section 3.O of the Act (Repealed)
- 14 Ill. Adm. Code 130.241Definition of the Term "Institutional Investor" under Sections 4C and 4D of the Act
- 14 Ill. Adm. Code 130.242Definition of the Term "Financial Institution" under Section 4.C of the Act
- 14 Ill. Adm. Code 130.244Definition of "Issuer Required to File Reports Pursuant to the Provisions of Section 13 or Section 15(d) of the Federal 1934 Act" with Respect to Certain Foreign Private Issuers and "Reports Required to be Filed at Regular Intervals Pursuant to the Provisions of Section 13 or Section 15(d)", as Used in Section 4(F)(1) of the Act
- 14 Ill. Adm. Code 130.245Definition of the Terms "Balance Sheet" and "Income Statement", as Used in Section 4.F of the Act
- 14 Ill. Adm. Code 130.246Definition of the Terms "Residents of this State", "Aggregate Sales Price" and "Sales Made in Reliance Upon the Exemption" Under Section 4.G of the Act and "General Advertising or General Solicitation" Under Sections 4.G, 4.H, 4.M and 4.R of the Act
- 14 Ill. Adm. Code 130.247Definition of the Term "Public" as Used in Section 4(G)(4) of the Act
- 14 Ill. Adm. Code 130.248Definition of the Terms "Offers for Sale" and "Solicitations of Offers to Buy", as Used in Section 4.L of the Act
- 14 Ill. Adm. Code 130.250Definition, For Certain Purposes, of the Terms "Commissions, Remuneration or Discounts", as Used in Section 4 and Section 5 of the Act
- 14 Ill. Adm. Code 130.251Definition of the Term "Maximum Aggregate Price", as Used in Section 5 of the Act
- 14 Ill. Adm. Code 130.270Definition of Certain Persons Not Considered to Be Dealers Under Section 2.7 of the Act
- 14 Ill. Adm. Code 130.280Definition of the Term "Branch Office" of a Registered Dealer, as Used in Section 8 of the Act
- 14 Ill. Adm. Code 130.281Definition of the Term "Branch Office" of a Registered Investment Adviser, as Used in Section 8 of the Act
- 14 Ill. Adm. Code 130.282Definition, For Certain Purposes, of the Term "Officers", as Used in Section 2.9 and Section 8.B.(6) of the Act
- 14 Ill. Adm. Code 130.285Definition, for Certain Purposes, of the Terms "Inequitable", "Tend to Work a Fraud or Deceit", "Inequitable Practice in the Sale of Securities", and "Fraudulent Business Practices", as Used in Section 8 and Section 11 of the Act
- 14 Ill. Adm. Code 130.291Definition of the Terms "Fraudulent" and "Work or Tend to Work a Fraud or Deceit" as Used in Sections 11.E and 12.F of the Act for purposes of the Payment of Completion Costs in Connection with the Offer or Sale of Securities involving an Oil, Gas or Other Mineral Lease, Right or Royalty