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
- 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
- Metals.com/Chase Metals, Inc./Barrick Capital, Inc.
- Blog
- TDCI Securities Division Issues Investor Advisory Alert Regarding Self-Directed IRAs and The Risk of Fraud
- Don’t Fall in Love with a Scammer this Valentine’s Day
- TN Joins Multiple States in Settlement Regarding Unregistered Offers and Sales of Digital Asset Investments
- TDCI Joins Movement to Shine a Spotlight on Fraud
- Professional Privilege Tax Reminder
News
- TDCI Securities Division Issues Investor Advisory Alert Regarding Self-Directed IRAs and The Risk of Fraud
- Don’t Fall in Love with a Scammer this Valentine’s Day
- Tennessee Joins Multiple States in Settlement Regarding Unregistered Offers and Sales of Digital Asset Investments
- TDCI Joins Movement to Shine a Spotlight on Fraud
- TDCI Joins NASAA in Cautioning Investors About Investment Scams in the Metaverse
- TDCI’s Securities Division Reminds Consumers to Use Caution when Taking Advice from “Finfluencers”
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