(815 ILCS 5/9) (from Ch. 121 1/2, par. 137.9)
Sec. 9.
Advertising.
The Secretary of State may by rule or regulation
require the filing with him or her of any prospectus, pamphlet, circular,
form letter, advertisement or other sales literature or advertising
communication addressed or intended for distribution or dissemination in
this State to prospective investors, including clients or prospective
clients of an investment adviser; provided, that no such filing may
be required with respect to:
(1) securities exempt from registration pursuant to the provisions of
Section 3 of this Act or sold solely in transactions of the nature set
forth in Section 4 of this Act;
(2) securities registered under both the Federal 1933 Act and subsection
A or B of Section 5, 6 or 7 of this Act;
(2.5) federal covered securities; or
(3) advertisements appearing in newspapers, magazines or periodicals of
regular publication and established paid circulation, other than an
advertisement which constitutes an offer of securities which is not
covered by any of the exemptions set forth in Section 4 of this Act, and which
securities are not exempt from registration pursuant to the provisions of
Section 3 of this Act.
(Source: P.A. 89-209, eff. 1-1-96; 89-626, eff. 8-9-96; 90-70, eff.
7-8-97.)
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