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
- Professional Privilege Tax Reminder
- TDCI Shares Tips Ahead of Elder Abuse Awareness Day (Saturday, June 15)
- Judge Upholds Denial of Franklin Man’s Financial Adviser Applications, Orders $5K Payment for Court Costs
- TDCI, NASAA Provide Investor Tips for America Saves Week (Feb. 25 – March 2)
- TDCI: ‘Free Meal’ Seminars May Come with a Cost
- Investor Education, Protection Highlights 2018 for TDCI Securities Division
- TDCI Raises Awareness of Promissory Note Fraud
- TDCI Urges Veterans to Protect Themselves, Families From Scammers
News
- 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)
- Judge Upholds Denial of Franklin Man’s Financial Adviser Applications, Orders $5K Payment for Court Costs
- TDCI, NASAA Provide Investor Tips for America Saves Week (Feb. 25 – March 2)
- TDCI: ‘Free Meal’ Seminars May Come with a Cost
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