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.

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.

If the company is publicly traded, you may be able to find its recent filings electronically at the Securities and Exchange Commission Edgar database. Research the stock certificate at your local library.

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.

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.

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 14, 2018 · Federal securities laws are enforced by the U.S. Securities and Exchange Commission while the Tennessee Securities Division, which is a part of the Department of Commerce and Insurance, has the responsibility of enforcing the Tennessee Securities Act and protecting investors in the state.

Jan 21, 2025 · The Trump administration took its first steps Tuesday toward an expected lowering of regulatory barriers for cryptocurrency.

The securities have not been registered with or approved by any state securities administrator or the securities and exchange commission and are being offered and sold pursuant to an exemption from registration;