Broker registration files, 1925-1933.

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Broker registration files, 1925-1933.

http://www.worldcat.org/oclc/36106088

Files concern applications from persons, firms, partnerships, or corporations to act as dealers, brokers, owners, or salesmen for the sale of securities in Illinois. Each application file includes application for registration of broker detailing prior business experience; certificates of appointment of employees as agents; certificate of acknowledgement of the legal responsibilities of the broker; and correspondence with the applicant, banks, representative law firms, individuals writing letters of reference for the applicant, individuals making complaints against the applicant, Better Business Bureaus, Investors Protective Bureau, Inc. (of Chicago), and agencies of other states concerning the investigation of the application of the broker. Frequently the files also include balance sheets of the applicant firm, transcripts of hearings held by the Securities Division, orders of the Securities Division canceling the registration of broker, appraisals by independent firms of the assets of the broker, list of securities sold for each year registered, newspaper articles, and pamphlets. Applications often were rejected.

71 cubic ft.

Illinois State Archive

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SNAC Resource ID: 7377244

Illinois State Archive

Related Entities

There are 2 Entities related to this resource.

Illinois. Securities Dept.

http://n2t.net/ark:/99166/w6f55ss9 (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 investment...

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 ...