Securities
In this country, regulation of the securities industry is a shared effort among federal, state, and self-regulatory agencies. The Tennessee Securities Division is responsible for enforcing the Tennessee Securities Act of 1980 and protecting the investors of Tennessee by maintaining the integrity of the securities market. We accomplish this function through the regulation of the securities industry and capital markets of Tennessee. The Division also advocates investor education in the prevention of fraud. Through investor education, citizens can avoid bogus securities scams and keep Tennessee's capital markets viable.
Industry Professionals
- Resource Library
- Filing Instructions and Forms
- Investment Adviser/Broker Dealer Check
- Registration Section Overview
- Guide to Protecting Seniors from Financial Exploitation
- SEC Investment Adviser Public Disclosure
- Electronic Signatures & Investment Documents
- Laws and Rules
- More Information
- Requesting Public Information
News and Information
- Misam M. Abidi, Ali Raza Galani, Star Credit Holdings, LLC, Satori Credit Solutions, LLC and Nusime, LLC.
- Metals.com/Chase Metals, Inc./Barrick Capital, Inc.
- Blog
- TDCI Raises Awareness About “Other People’s Money” Investment Scams
- TDCI’s Securities Division Urges Tennesseans To Focus on Fighting Fraud, Identity Theft
- TDCI’s Securities Division Urges Consumers to Protect Their Investments from “Pig Butchering” Scams
- TDCI, Attorney General Support Consumer Protection During Identity Theft Awareness Week (Jan. 29 – Feb. 2, 2024)
- Professional Privilege Tax Reminder
News
- TDCI Raises Awareness About “Other People’s Money” Investment Scams
- TDCI's Securities Division Highlights Proactive Investor Protection Tips for Financial Capability Month
- TDCI’s Securities Division Urges Tennesseans To Focus on Fighting Fraud, Identity Theft
- TDCI’s Securities Division Urges Consumers to Protect Their Investments from “Pig Butchering” Scams
- TDCI, Attorney General Support Consumer Protection During Identity Theft Awareness Week (Jan. 29 – Feb. 2, 2024)
- TDCI’s Securities Division Announces New Exemption Filing Requirements