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.
- TDCI Announces Top Five Investor Threats For 2020
- TDCI’s Securities Division Encourages Broker-Dealers To Use Errors and Omissions Insurance as a Resource
- TDCI Issues Advisory to Raise Awareness About Affinity Fraud
- TDCI: Knoxville Investment Advisor Must Pay $480,000 in Civil Penalties
- TDCI Shares 'Back to School' Consumer Tips
- TDCI Shares Tips Ahead of Elder Abuse Awareness Day (Saturday, June 15)