The Audit Division conducts unannounced audits of both registered and unregistered entities who are selling securities, providing investment advice, selling business opportunities, or acting as a business or loan broker. The Division conducts audits to determine if individuals are complying with all of the Acts administered by the Department. If evidence of fraud or non-compliance is discovered, the matter is referred to the Enforcement Division. Information obtained during the course of these audits is non-public unless it is utilized as evidence in a public action taken by the Department.
DISCLAIMER
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.
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