Investment Professional Disclosure Forms
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
- Tennessee Jump$tart to receive State Coalition of the Year Award
- TDCI: GSB Gold Standard, GS Partners Claims Portal Now Accepting Claims
- TDCI’s Securities Division Joins $106 Million Multi-State Settlement with Vanguard over Big Tax Bills, Remediation to Investors
- TDCI: Protect Your Heart – And Your Finances – When It Comes To Romance Scams!
- Professional Privilege Tax Reminder
News
- TDCI’s Securities Division Warns of Emerging Cryptocurrency Scams Involving Fake “Investment Education Foundations” and A.I. Bots
- TDCI’S Securities Division Hosts America Saves Week 2025
- TDCI’s Securities Division Raises Awareness of the Risks of Social Isolation and Loneliness on Senior Investors
- Tennessee Jump$tart to receive State Coalition of the Year Award
- TDCI: GSB Gold Standard, GS Partners Claims Portal Now Accepting Claims
- TDCI Selected To Receive Savings Champion Award by National Savings Program Annual Campaign