Statutes, codes, and regulations
Illinois Administrative Code
Title 14 - COMMERCEPart 130 - REGULATIONS UNDER ILLINOIS SECURITIES LAW OF 1953
Subpart H - REGISTRATION OF DEALERS, SALESPERSONS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
Section 130.841 - Reporting of Investment Adviser Branch Office Locations and Required Fees

Ill. Admin. Code tit. 14 § 130.841

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Current through Register Vol. 48, No. 45, November 8, 2024
Section 130.841 - Reporting of Investment Adviser Branch Office Locations and Required Fees
a) Each investment adviser shall file with the Securities Department with its application for registration a schedule setting forth the address of each branch office in this State as defined in Section 130.280. A Schedule D of the Revised Uniform Application for Investment Adviser Registration required by Section 130.840(a)(1) disclosing each branch office in this State shall be accompanied by the payment of the fee in the form and amount specified in Section 130.110 for each branch office in this State.
b) Each registered investment adviser shall file or have filed with the Securities Department prior to re-registration a schedule setting forth the address of each branch office and pay to the Securities Department in Springfield a fee in the form and amount specified in Section 130.110 for each branch office in this State.
c) No registration or re-registration of an investment advisor shall become effective until theschedule of the investment adviser's branch office has been filed with the Securities Department and the fee, if any, has been paid.
d) The registered investment adviser shall amend its application for registration by filing with the Securities Department in Springfield within 10 business days after:
1) the opening of any branch office in this State not previously reported, setting forth the address of that branch office; and
2) the closing of any branch office in this State, setting forth the address of that branch office.
e) For the limited purpose of this Section and solely for the filings and/or fees submitted to the IARD, the terms "with the Secretary of State" as used in Section 8.C-5, 8.D, 8.D-5, and 8.H of the Act, and "with Securities Department", as used in this Section, shall include a filing and/or fee submitted to FINRA, utilizing the IARD.
f) Annual Re-registration

All new registration applications and re-registration applications shall expire at the end of the day on December 31 annually.

Ill. Admin. Code tit. 14, § 130.841

Amended at 36 Ill. Reg. 2852, effective February 8, 2012