Ill. Admin. Code tit. 14 § 130.828

Current through Register Vol. 48, No. 24, June 14, 2024

Section 130.828 - Notice of Materially Adverse Financial Condition Required to Be Filed With the Securities Department By a Registered Dealer

Each registered dealer which discovers it is no longer in compliance thereof with the requirements under Section 130.826 of this Part shall file a notice with the Securities Department within 24 hours of the discovery of such non-compliance. Such notification shall be made by telegraphic communication, facsimile transmission or such other means of delivery.

Ill. Admin. Code tit. 14, § 130.828

Added at 14 Ill. Reg. 5188, effective March 26, 1990