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
- TDCI Announces Top Five Investor Threats For 2020
- TDCI’s Securities Division Encourages Broker-Dealers To Use Errors and Omissions Insurance as a Resource
- TDCI Issues Advisory to Raise Awareness About Affinity Fraud
- TDCI: Knoxville Investment Advisor Must Pay $480,000 in Civil Penalties
- TDCI Shares 'Back to School' Consumer Tips
- 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
News
- TDCI Announces Top Five Investor Threats For 2020
- TDCI’s Securities Division Encourages Broker-Dealers To Use Errors and Omissions Insurance as a Resource
- TDCI Issues Advisory to Raise Awareness About Affinity Fraud
- 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)
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