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
- Professional Privilege Tax Reminder
- TDCI Assistant Commissioner Named President-Elect of Securities Association
- Colorado Man Fined $12K for Role as Unregistered Agent for Chattanooga Company
- TDCI Alerts Consumers About “IRS Approved” Investment Advertising
- TDCI: Crypto Scammers Use Technology for Harmful Digital Scams
- TDCI Securities Division Participates in Coordinated International Crypto Crackdown
- Unregistered Broker Operating in TN Faces $25k Fines, Cease & Desist
- Tennessee Securities Team Alerts Investors to Internet Crypto Company ‘Bitcoiin’