Registration of securities files, 1917-1953.

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Registration of securities files, 1917-1953.

http://www.worldcat.org/oclc/36106001

Files are applications to register securities made by the issuing body, controlling person, or registered dealer. For each securities issuer documents and statements submitted generally include application to register securities; prospectus or statements descriptive of the securities; certificate of consent to service of process; articles of incorporation; bylaws; resolutions of the board of directors; names, addresses, and prior occupations of the officers of the issuing body; annual reports; balance sheets; profit-and-loss statements; analysis of surplus accounts; deeds; underwriting and other agreements; appraisals of assets by independent firms; sample stock certificates; commercial publications; work sheets used by Securities Division staff to evaluate the securities; and correspondence concerning compliance with the Illinois Securities Law. Beginning in 1940 files also include registration statements for the U.S. Securities and Exchange Commission filed under the Federal Securities Act.

792 cubic ft.

Illinois State Archive

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SNAC Resource ID: 7377242

Illinois State Archive

Related Entities

There are 3 Entities related to this resource.

Illinois. Securities Dept.

http://n2t.net/ark:/99166/w6sr73xj (corporateBody)

The Securities Division was created in 1919 to administer the Illinois Securities Law which provides protection to Illinois investors against fraudulent securities and fraudulent methods in the sale of securities (L. 1919, p. 351). The statute was rewritten extensively in 1953 to prevent fraud and inequity in the sale of stocks, bonds, and other securities by requiring the registration of securities before offering them for sale and the registration of securities dealers, salesmen, and investmen...

United States. Securities and Exchange Commission

http://n2t.net/ark:/99166/w6qc3vcj (corporateBody)

Illinois. Office of Secretary of State

http://n2t.net/ark:/99166/w62v6qwp (corporateBody)

The Office of Secretary of State, successor to the territorial Secretary, was established by the 1818 Constitution to keep both the state archives and a register of the Governor's official acts. The Secretary was appointed by the Governor until the 1848 Constitution made the office elective. In 1873, the Dept. of Archives and Index was created to "make and keep proper indexes to the executive records and all public acts, resolutions, papers and documents" filed with the Secretary of State. This ...