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Exam Requirements and Filing Fees. Attention Investment Advisers And Investment Adviser Representatives. The following regulations are strictly enforced: Regulations Under the Illinois Securities Law of 1953, 130 ILAC 842 (b) (2) and 130 ILAC 843 (b) (2) respectively, state “Any person who has not been registered in any jurisdiction for a ...
Under Illinois law, all securities offered or sold in the state must be registered prior to offer or sale, unless exempt by law. The National Securities Markets Improvement Act of 1996 (NSMIA) redefined which securities required state registration.
Any person who engages in the business of financial planning or who manages $100 million or less in investments is required to register as a state-registered investment adviser with the Illinois Securities Department.
a) Examination Requirements. Any person applying to be registered as an Investment Adviser Representative under the Act shall provide the Secretary of State with proof of obtaining a passing score on one of the following examinations: 1) The Uniform Investment Adviser Examination (Series 65 examination); or.
Becoming a stockbroker in Illinois will require you to register as a brokerage salesperson with the Illinois Securities Department, the Securities and Exchange Commission (SEC), and an SEC-recognized self-regulatory organization (SRO).
17 lis 2023 · a) Examination Requirements. Any person applying to be registered as an Investment Adviser Representative under the Act shall provide the Secretary of State with proof of obtaining a passing score on one of the following examinations: 1) The Uniform Investment Adviser Examination (Series 65 examination); or.
Licensing and Testing Section. Licensure. The licensure process in Illinois is designed to ensure all professionals comply with statutory and rule requirements specific to their chosen profession. Professionals seeking to work in Illinois must first receive, and properly complete an application for licensure.
