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
- TDCI’s Securities Division Reminds Consumers to Use Caution when Taking Advice from “Finfluencers”
- TDCI Raises Awareness of Need for Families and Caregivers to Protect Seniors on Elder Abuse Awareness Day
- TDCI Warns Consumers About Increased Cyber Risk and Investment Threats Related to Ukraine Conflict
- Join TDCI’s Securities “Principles of Personal Financial Literacy” Livestream Event
- Professional Privilege Tax Reminder
News
- TDCI’s Securities Division Reminds Consumers to Use Caution when Taking Advice from “Finfluencers”
- TDCI Shares Financial Planning Tips Ahead of National Financial Awareness Day on Aug. 14
- TDCI Raises Awareness of Need for Families and Caregivers to Protect Seniors on Elder Abuse Awareness Day (June 15, 2022)
- TDCI’s Securities Division Sponsors Military Saves Month During April
- TDCI Investigator Earns Profile in National Consumer Protection Publication
- TDCI Warns Consumers About Increased Cyber Risk and Investment Threats Related to Ukraine Conflict
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