Financial Fraud
Disguises to Watch Out For
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
- Join TDCI for the “Investing: A Beginner’s Guide for Getting Started” Virtual Event and Build Your Financial Foundation
- TDCI Securities Division Shares SEC Investor Alert About Scammers Posing as Brokers or Investment Advisers
- TN Investors Invited to Learn About Consumer Fraud, Investment Fraud & Rise of Digital & Cryptocurrencies During 8/25/2021 Teletown Hall
- Join TDCI for the “Financial Freedom: Declare The Life You Want” Virtual Event and Start Building Your Retirement Nest Egg
- Professional Privilege Tax Reminder
News
- Join TDCI for “Financial Fraud: Disguises to Watch Out For" Virtual Event on Friday, Oct. 22
- TDCI Securities Division Joins FINRA, NASAA and SEC OIEA to Urge Investors to Establish a Trusted Contact to Increase Investor Protection
- Join TDCI for the “How to Make Your Earnings Work for You - Through Retirement” Virtual Event and Build Your Financial Foundation
- Join TDCI for the “Investing: A Beginner’s Guide for Getting Started” Virtual Event and Build Your Financial Foundation
- TDCI Securities Division Shares SEC Investor Alert About Scammers Posing as Brokers or Investment Advisers
- TDCI Shares Fire Safety, Consumer Education Tips as New School Year Begins
EVENTS