Regulatory Alerts2009-09-30
Added · Updated
Fall 2009 Securities Bulletin
Public Act 09-3 raises securities licensing fees for broker-dealers, investment advisers, and agents effective October 1, 2009, while Public Act 09-160 expands the Commissioner's denial, revocation, and suspension authority to cover applicants sanctioned for non-securities violations. Public Act 09-174 prohibits securities product sellers from using designations implying special expertise in serving senior citizens unless they hold specific credentials. The Bulletin also details enforcement actions, including consent orders and cease and desist orders against entities such as Silver Oak Securities, Inc., Nelson Noren Ehinger, Jr., and Prosper Marketplace, Inc. for violations ranging from unregistered transactions to inaccurate reporting and unauthorized trading.
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