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.
- State Securities Administration Letter to Commissioners 11-13-2020
- Blog
- TDCI’s Securities Division Joins America Saves Week 2021
- TDCI Securities Division Reminds Regulated Firms of Customer Obligations and Investors About Risks of Stock Price Volatility
- TDCI’s Securities Division Reminds Firms To Contact Regulators About Issues Related To SolarWinds Breach
- Financial Expert Announced As TDCI's New Director of Investor Education
- Professional Privilege Tax Reminder
News
- TDCI’s Securities Division Joins America Saves Week 2021
- TDCI Securities Division Reminds Regulated Firms of Customer Obligations and Investors About Risks of Stock Price Volatility
- TDCI’s Securities Division Reminds Firms To Contact Regulators About Issues Related To SolarWinds Breach
- Financial Expert Announced As TDCI's New Director of Investor Education
- Tennessee Securities Division Joins Group of State Regulators Concerned About Unregistered “Finders” Pitching High-Risk Private Offerings
- TDCI Renews Consumer Warning to Be Wary of COVID-19 Financial Scams
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