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.

Oct 22, 2020 · 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.

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.

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.

To locate the section pertaining to Securities, enter the LexisNexis® Web site and scroll to Title 48, which contains the law for Securities, Corporations And Associations. Select “Securities”. Select “Chapter 1 Securities”. Tennessee Securities Rules: TN Securities Rules.

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

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.

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.