Newsroom

NASHVILLE — The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division is reminding financial service registrants, particularly state-registered investment advisers and intrastate broker-dealers, to report any known issues or concerns related to the recent SolarWinds cybersecurity incident to their primary securities regulator.

NASHVILLE — The Tennessee Department of Commerce & Insurance (TDCI) proudly announces that Rachel Carden has joined the TDCI team as the Director of Investor Education for the Securities Division.

NASHVILLE — The Tennessee Department of Commerce and Insurance (TDCI) Securities Division is among 30 state securities regulators to raise concerns about a recent proposal by the U.S. Securities and Exchange Commission (SEC) that would make more investors vulnerable to sales pitches for high-risk private securities from unregistered and unsupervised financial brokers.

NASHVILLE — The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division along with the North American Securities Administrators Association (NASAA) and FINRA (Financial Industry Regulatory Authority) are encouraging Tennessee investors to proceed cautiously when it comes to new investment opportunities as fraudsters continue to take advantage of the buzz surrounding companies promoting products and services related to the COVID-19 pandemic.

NASHVILLE – The Tennessee Attorney General’s Office and the Tennessee Department of Commerce & Insurance announced today that they are participating in a consolidated nationwide enforcement action to halt a fraudulent precious metals scheme that has solicited $185 million from at least 1,600 seniors and other investors across the United States.

NASHVILLE — The Tennessee Department of Commerce and Insurance (TDCI)’s Securities Division today announced its participation in the COVID-19 Enforcement Task Force, an international investor protection initiative to crack down on schemes related to the ongoing COVID-19 pandemic. The North American Securities Administrators Association (NASAA), of which Tennessee is a member, is coordinating the task force.

NASHVILLE — As the final days of summer approach, the Tennessee Department of Commerce and Insurance (TDCI) reminds Tennesseans that there’s never been a better time than today to renew their commitment to safety.

NASHVILLE — The arrival of summer means hot days, long afternoons, and time spent with family and friends boating, camping, and cooking out. However, the COVID-19 pandemic, recent severe weather across Tennessee, and the ongoing economic recovery have created new challenges and risks for Tennesseans this summer.

NASHVILLE – The Tennessee Department of Commerce and Insurance’s (TDCI) Securities Division joins the North American Securities Administrators Association (NASAA) to update the status of the work of the COVID-19 Enforcement Task Force, consisting of state and provincial securities regulators, to identify and stop potential threats to investors stemming from the pandemic.

NASHVILLE – Tennessee’s older adults are oftentimes the targets of scammers, financial con artists, bad actors, and other abusers intent on causing them harm or stealing their financial resources and dignity.

NASHVILLE — In keeping with President Trump’s recognition of May as Older Americans Month, the Tennessee Department of Commerce & Insurance (TDCI) urges families and caregivers of older adults to report instances of elder abuse and learn the red flags that might indicate an elder is being preyed upon — either physically or financially.

NASHVILLE – The Tennessee Department of Commerce and Insurance (TDCI) Securities Division is participating in the North American Securities Administrators Association (NASAA) COVID-19 Enforcement Task Force. Consisting of state and provincial securities regulators, the COVID-19 Enforcement Task Force will identify and stop potential threats to investors stemming from the COVID-19 pandemic.

NASHVILLE – The Treasury Department and the Internal Revenue Service (IRS) will begin distributing COVID-19 Economic Impact Payments in the next few weeks.

The Tennessee Securities Division (“Division”) sets forth this Statement of Policy regarding business disruptions caused by the COVID-19 pandemic that affect broker-dealers, investment advisers, federal covered investment advisers, and their registered agents or representatives (collectively “financial professionals”).

NASHVILLE — Amid the ongoing COVID-19 pandemic, the Tennessee Department of Commerce and Insurance (TDCI) Securities Division is alerting investors to be on guard against an anticipated surge of fraudulent investment schemes.