Ill. Admin. Code tit. 14 § 130.281

Current through Register Vol. 48, No. 25, June 21, 2024

Section 130.281 - Definition of the Term "Branch Office" of a Registered Investment Adviser, as Used in Section 8 of the Act

a) "Branch office", as used in Section 8 of the Act, shall mean any office, residence or other place or location in this State where the registered investment adviser or its investment adviser representatives provide investment advisory services, solicit, meet with, or otherwise communicate with clients, or any other location that is held out to the general public as a location at which the registered investment adviser or its investment adviser representatives provide investment advisory services, solicit, meet with, or otherwise communicate with clients.

b) The principal office located in this State of the registered investment adviser, if any, shall not be considered a branch office.

Ill. Admin. Code tit. 14, § 130.281

Amended at 25 Ill. Reg. 8817, effective July 6, 2001