Investing: What’s New? What’s Not?
Facebook Live: Friday, April 23 at 1pm ET
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: What’s New & What’s Not” Virtual Event and Learn How New and Not New Investment Strategies Can Help You Plan for Retirement
- TDCI Securities Division Announces Participation in the EVERFI Financial Literacy Bee to Support Youth Financial Education
- Join TDCI for “The COVID Effect” Virtual Event and Rack Up Good Information on Restoring Your Financial Wellness
- TDCI Securities Division Issues Investor Claim Notice Regarding Metals.com, Tower Equity, Chase Metals and Barrick Capital Receivership
- Professional Privilege Tax Reminder
News
- Join TDCI for the “Investing: What’s New & What’s Not” Virtual Event and Learn How New and Not New Investment Strategies Can Help You Plan for Retirement
- TDCI Encourages Tennesseans to Commit to Savings During Military Saves Month in April
- TDCI Securities Division Announces Participation in the EVERFI Financial Literacy Bee to Support Youth Financial Education
- Join TDCI for “The COVID Effect” Virtual Event and Rack Up Good Information on Restoring Your Financial Wellness
- TDCI Securities Division Issues Investor Claim Notice Regarding Metals.com, Tower Equity, Chase Metals and Barrick Capital Receivership
- TDCI’s Securities Division Joins America Saves Week 2021
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