Illinois Securities Administrative Actions Search Tool

Detected March 17th, 2026

Summary

The Illinois Securities Department has launched a new administrative actions search tool, currently under development. The tool allows users to search for actions from 2003 to the present, with additional years to be added. Contact information for the department is provided for further assistance.

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What changed

The Illinois Securities Department has introduced a new online search tool for administrative actions, which is currently in development. The tool enables users to search for regulatory actions taken by the department from 2003 to the present. Additional years will be incorporated as development progresses, and a complete listing is also available. The department provides contact numbers for those needing further assistance or copies of documents not available online.

While this is an informational notice about a new tool, regulated entities, particularly legal professionals and compliance officers operating in Illinois, should be aware of its existence for potential future use in researching past enforcement actions. No immediate compliance actions are required, but familiarizing oneself with the tool's capabilities and limitations may be beneficial for due diligence and understanding the regulatory landscape.

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Administrative Actions Search

Administrative Actions Search

This Administrative Actions Search is currently under development and additional years will be added to the search as the development continues. Currently you can search for administrative actions between 2003 and the present. In addition to searching the years available you may also view the Complete Administrative Actions Listing. Alternatively, you may contact the Illinois Securities Department at either 1-800-628-7937, 217-782-2256 or 312-793-3384 for further assistance.

Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader

Search Type Search by Respondent Name Name
Search by File Number File Number
Search by Date Start Date End Date The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Administrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.