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
- Blog
- TDCI’s “Summer of Safety” Campaign Focuses on Helping Reduce Consumer Risk and Avoiding Scammers
- TDCI’S Securities Division Participates in Coordinated International Crackdown on COVID-19
- DCI Launches Summer of Safety Consumer Protection Campaign for Tennessee
- TDCI Joins Nasaa To Provide Update On COVID-19 Enforcement Task Force
- Protect TN's Elderly Population- Learn The Red Flags Of Elder Abuse
- TDCI Urges Consumers to Learn the Signs of Elder Abuse During Older Americans Month
- Professional Privilege Tax Reminder
News
- Attorney General’s Office and Commerce & Insurance Join CFTC to Stop Nationwide Precious Metals IRA, Bullion Coin Scheme
- TDCI’S Securities Division Participates in Coordinated International Crackdown on COVID-19
- TDCI’s “Summer of Safety” Campaign Focuses on Helping Reduce Consumer Risk and Avoiding Scammers
- TDCI Launches Summer of Safety Consumer Protection Campaign for Tennessee
- TDCI Joins Nasaa To Provide Update On COVID-19 Enforcement Task Force
- TDCI: Protect Tennessee’s Elderly Population By Learning The Red Flags Of Elder Abuse