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Securities


Broker/Dealer  |  Business Brokers  |  Business Opportunities  |  Investigation/Enforcement  |  Investment Advisers and Representatives  |  Loan Brokers  |  Protecting Consumers  |  Stock/Securities Offerings

Broker/Dealer

Additional Information to Register as a Securities Dealer
SEC 311
Instructions to Register as a Securities Dealer
SEC 312
Uniform Application for Broker-Dealer Registration
BD*
Uniform Application for Broker-Dealer Withdrawal
BDW*
Uniform Termination Notice
U-5*
Uniform Termination Notice - Instructions
U-5*
Uniform Branch Office Registration Form
BR*
Uniform Branch Office Registration Form - Instructions
BR*

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Business Brokers

Application for Registration as a Business Broker
IL BB01
Consent to Service of Process
IL BB10
Illinois Business Brokers Act of 1995
SEC PUB 6
Instructions on Registration as a Business Broker
SEC 315
Regulations under Illinois Business Brokers Act of 1995
*
Statement for Basis of Exemption From Waiting Period & Disclosure Requirements
IL BB02
Statement for Basis of Exemption From Waiting Period & Disclosure Requirements Attorney Review
IL BB03

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Business Opportunities

Application to Register or Renew Business Opportunities
IL BSOP 5-25
Business Opportunity Bond
IL BSOP 5-50
Business Opportunity Consumer Statement
SEC 307
Business Opportunity Disclosure Documents
IL BSOP 5-35
Business Opportunity Sales Law of 1995
SEC PUB 7
Consent to Service of Process
B05
Instructions on Registration for a Business Opportunity
SEC 310
Regulations under the Business Opportunities Sales Law of 1995
*

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Investigation/Enforcement

Borrower Statement
SEC 322
Business Opportunity Consumer Statement
SEC 307
Client Statement
SEC 323
Fraud Scene Investigator Brochure
SEC 342
Illinois Securities Law of 1953
SEC PUB 10
Information Regarding the Filing of Reports of Sale
4G
SEC 319/
SEC 330
Investor Statement
SEC 318

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Investment Advisers and Representatives

Additional Information to Register as an Investment Adviser
SEC 321
Dual Registration as an Investment Adviser Representative and Salesperson
SEC 331
Guide for Investment Advisors
SEC 341
Instructions for Uniform Application for Securities Industry Registration or Transfer
Instructions*
Instructions for Registration as an Investment Adviser
SEC 320
Notice of Withdrawal from Registration as Investment Adviser
ADV-W*
Uniform Application for Investment Adviser Registration
ADV*
Uniform Application for Securities Industry Registration or Transfer
U-4*

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Loan Brokers

Application for Registration as a Loan Broker
IL LB15-10
Consent to Service of Process
IL LB15
Illinois Loan Brokers Act of 1995
SEC PUB 5
Illinois Loan Brokers Bond
SEC 325
Instructions on Registration as a Loan Broker
SEC 326
Regulations under Illinois Loan Brokers Act of 1995
*

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Protecting Consumers

Avoiding Business Opportunity Scams
SEC 280
Business Brokers
SEC 283
Checking Your Stockbroker or Brokerage Firm
SEC 286
Facts About Con Artists
SEC 343
Fraud Scene Investigator Brochure
SEC 342
How to Indentify and Report Investment Fraud
SEC 344
Investment Guide for Illinois Consumers
SEC PUB 9
Loan Brokers
SEC 284
Senior Citizens Security Fraud
SEC 245
TAPS - Combat Military Financial Fraud
SEC 336
Tips for Online Investors
SEC 300
Tracing the Value of Old Securities
SEC 338

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Stock/Securities Offerings

Midwest Regional Review Application Form
*
Report of Sale filing fee $100
4G
SEC 319/
SEC 330
Uniform Application to Register Securities
U-1*
Uniform Examination Request for Non-Nasd Candidates
U-10*
Uniform Investment Company Notice Filing
NF*
Small Company Offering Registration Disclosure Document and Manual
U-7*
Solicitation of Interest Form
SEC 333

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* This publication is not an Illinois Secretary of State publication.

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