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 Shares Consumer Protection Tips About Mobile App Scams
- TDCI Securities Reminds Consumers to Learn The Red Flags of “Imposter Scams”
- TDCI Shares Tips on Investing in Cryptocurrency Ahead of World Elder Abuse Awareness Day (June 15, 2024)
- TDCI Raises Awareness About “Other People’s Money” Investment Scams
- Professional Privilege Tax Reminder
News
- TDCI Warns Tennessee Investors About Risks for “Spoofing” and “Phishing” Scams
- TDCI Shares Consumer Protection Tips About Mobile App Scams
- TDCI Securities Reminds Consumers to Learn The Red Flags of “Imposter Scams”
- TDCI Shares Tips on Investing in Cryptocurrency Ahead of World Elder Abuse Awareness Day (June 15, 2024)
- TDCI, TN AG Take Legal Action to Protect Consumers in case involving Star Credit Holdings, Numisme, Misam and Anisha Abidi, and Raza Galani
- TDCI Raises Awareness About “Other People’s Money” Investment Scams