BD- Illinois Broker-Dealer Designation of Principal Form

The IL Broker-Dealer Designation of Principal Form is required pursuant to Illinois Securities Law Section 130.810(b)(3)-(5) and (7).  Each broker-dealer registered in the State of Illinois must identify at least one examination-qualified principal who is responsible for offering or selling securities and for the supervision of each registered representative servicing Illinois customer accounts. Members also downloaded Illinois Broker-Dealer and Broker-Dealer Agent Registration Requirements.

Version/Update: V.U/11/2015

Total Page Count/Format: 2/.pdf

Source/Author(s): IL Office of the Secretary of State Securities Dept.