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Attention Investment Advisers And Investment Adviser Representatives
The following regulations are strictly enforced: Regulations Under the Illinois Securities Law of 1953, 130 ILAC 842 (b)(2) and 130 ILAC 843 (b)(2) respectively, state “Any person who has not been registered in any jurisdiction for a period of two years shall be required to comply with the examination requirements of this Section.”

Tanya Solov, Director
Springfield office:
421 E. Capitol Ave., 2nd Flr.
Springfield, IL 62701
Hours: Mon.-Fri., 8 a.m.-4:30 p.m.
Chicago office:
69 W. Washington St., Ste. 1220
Chicago, IL 60602
Hours: Mon.-Fri., 8:30 a.m.-5 p.m.

The department is responsible for the regulation of the securities industry in Illinois and protection of investors by ensuring compliance with the law and investigating any complaints of fraud or improper practices.

Administrative action taken by the department can be used to assist the investor if a civil action is filed.