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
- TDCI’s Securities Division Launches Let’s Talk Seniors Training Initiative about the Reality and Risks of Financial Exploitation of Older Adults
- TDCI’s Securities Team Reminds Consumers to Learn More About Crypto ETFs Before Investing
- TDCI Raises Awareness About Risks Related to Investments in Precious Metals
- TDCI’s Securities Division Raises Awareness of the Risks of Social Isolation and Loneliness on Senior Investors
- Professional Privilege Tax Reminder
News
- TDCI’s Securities Division Launches Let’s Talk Seniors Training Initiative about the Reality and Risks of Financial Exploitation of Older Adults
- TDCI’s Securities Team Reminds Consumers to Learn More About Crypto ETFs Before Investing
- TDCI Raises Awareness About Risks Related to Investments in Precious Metals
- TDCI’s Securities Division Provides Clarity to Recently Amended Rules for Investment Advisers Relying on De Minimis Exemption
- TDCI’s Securities Division Earns Two Honors from America Saves
- TDCI Shares Consumer Protection Tips Ahead of World Elder Abuse Awareness Day (Sunday, June 15, 2025)