Section 913.100  Documents to be Filed with the Director

In addition to all other documents required to be filed with the Director, an issuer, underwriter, dealer or controlling person making application to the Director for a Permit to sell shares shall submit to the Department the following documents in duplicate, where applicable:

a)         The form of the prospectus to be used in connection with the public sale of shares;

b)         Underwriting or selling agreement or agreements manually signed by and between the issuer and the selling agents;

c)         Audited financial statements as required in the prospectus;

d)         Executed copies of any and all escrow agreements required by any provision of this Rule;

e)         Stock Option Plans;

f)          A supplemental statement manually signed by the proposed incorporators or officers as the case may be, setting forth the following information:

1)         other expenses of issuance and distribution;

2)         relationship of applicant to experts named in the prospectus;

3)         subsidiaries of the applicant;

4)         indemnification of incorporators, officers or directors;

5)         In lieu of the foregoing, copies of the registration statement as filed with the Securities Exchange Commission pursuant to the Federal Securities Act, may be submitted.

g)         The names and addresses of counsel who have passed on the legality of the issues;

h)         Consent of experts names in prospectus dated and manually signed in cases of an intrastate offering and conformed copies in those instances in which the offering is interstate;

i)          A sworn, executed questionnaire in the form set out in Illustration I of this Part from each officer and director of domestic companies which have been engaged in business for less than 10 years or where applicable from each incorporator, organizer, promoter or other person similarly situated;

j)          Any additional documents which are required under Sections 20, 32 and 32.1 of the Illinois Insurance Code (Ill. Rev. Stat. 1981, ch. 73, pars. 632, 644 and 644.1); and

k)         Agreement signed by applicant to file all necessary amendments and supplements to the prospectus.

(Source:  Amended at 7 Ill. Reg. 6946, effective May 18, 1983)