Securities

PUBLICATIONS & FORMS

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

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Broker/Dealer

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

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Business Brokers

Form #	Name of Publication/Form
IL BB01	Application for Registration as a Business Broker
IL BB10	Consent to Service of Process
SEC Pub 6	Illinois Business Brokers Act of 1995
SEC 315	Instructions on Registration as a Business Broker
Regulations	Regulations Under the Illinois Business Brokers Act of 1995
IL BB02	Statement for Basis of Exemption From Waiting Period & Disclosure Requirements
IL BB03	Statement for Basis of Exemption From Waiting Period & Disclosure Requirements Attorney Review

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Business Opportunities

Form #	Name of Publication/Form
IL BSOP 5-25	Application to Register or Renew Business Opportunities
IL BSOP 5-50	Business Opportunity Bond
SEC 307	Business Opportunity Consumer Statement
IL BSOP 5-35	Business Opportunity Disclosure Documents
SEC Pub 7	Business Opportunity Sales Law of 1995
B05	Consent to Service of Process
SEC 310	Instructions on Registration for a Business Opportunity
Regulations	Regulations Under the Illinois Business Opportunities Sales Law of 1995

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Investigation/Enforcement

Form #	Name of Publication/Form
SEC 322	Borrower Statement
SEC 307	Business Opportunity Consumer Statement
SEC 323	Client Statement
SEC Pub 10	Illinois Securities Law of 1953
4G SEC 319/SEC 330	Information Regarding the Filing of Reports of Sale
SEC 318	Investor Statement
Regulations	Regulations Under the Illinois Securities Law of 1953

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Investment Advisers & Representatives

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

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Loan Brokers

Form #	Name of Publication/Form
IL LB15-10	Application for Registration as a Loan Broker
IL LB15	Consent to Service of Process
SEC Pub 5	Illinois Loan Brokers Act of 1995
SEC 325	Illinois Loan Brokers Bond
SEC 326	Instructions on Registration as a Loan Broker
Regulations	Regulations Under the Illinois Loan Brokers Act of 1995

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Protecting Consumers

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

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Securities Bulletin

Form #	Season/Year
Newsletter	Summer 2008
Newsletter	Spring 2008
Newsletter	Fall 2007
Newsletter	Summer 2007
Newsletter	Winter 2007
Newsletter	Summer 2006
Newsletter	Winter 2006
Newsletter	Fall 2005
Newsletter	Spring/Summer 2005
Newsletter	Winter 2005
Newsletter	Fall 2004
Newsletter	Spring 2004
Newsletter	Winter 2004
Newsletter	Fall 2003
Newsletter	Summer 2003
Newsletter	Spring 2003
Newsletter	Winter 2002
Newsletter	Fall 2002
Newsletter	Summer 2002
Newsletter	Spring 2002

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Stock/Securities Offerings

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

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