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 Tennessee Securities Division: 1. Regulates and monitors the securities industry to ensure protection of investors from firms and individuals who engage in dishonest and unethical practices.

Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow.

The Atlanta Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.

Jul 2, 2024 · Find keywords and phrases in more than 20 years of EDGAR filings, and filter by date, company, person, filing category, or location. View a listing of real-time filings as they are submitted into the EDGAR system. Also view daily filings by form type within the past week.

Jan 30, 2023 · NASHVILLE – The Tennessee Department of Commerce & Insurance’s (“TDCI”) Division of Securities announces its participation in a multistate financial settlement with Nexo Capital, Inc. (“Nexo”) regarding unregistered offers and sales of securities to Tennessee investors.

Jan 10, 2024 · Effective Dec. 25, 2023, a new rule Tennessee Securities Rule 0780-04-03-.05, allows qualifying reporting advisers, private fund advisers and venture capital firms to file an exemption filing with TDCI’s Securities Division each year. In the past, those firms were required to register with TDCI.

Tennessee is a merit jurisdiction. Tennessee accepts the Uniform Application to Register Securities (Form U1), and does allow for electronic signature of forms. Registration requires filing or delivery of: Filing fee; Application form; Financial statements; A Consent to Service of Process (Form U2) SEC Form 1-A with exhibits

Aug 19, 2021 · NASHVILLE —The Tennessee Department of Commerce & Insurance’s Securities Division is joining the FBI Criminal Investigative Division and the U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy to warn investors about the rise of scammers and con artists making false claims about being registered ...

After the initial offer of a covered security in this state, all documents that are part of an amendment to a federal registration statement or Form D filed with the securities and exchange commission under the Securities Act of 1933 (15 U.S.C. § 77a et seq.), shall be filed concurrently with the commissioner.