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.
- TDCI Securities Division: 18 Disciplinary Actions Taken in 2016
- Collierville Investment Company Ordered to Cease & Desist Illegal Sale of Securities
- TDCI Cites Murfreesboro-based Businesses, Operator for Securities Fraud
- Investment Company Barred for Selling Illegal Securities in Wayne County
- NPT Presents Aging Matters | Abuse and Exploitation Panel Discussion
- TDCI Cites Hendersonville-based Corporations, Principals for Securities Fraud
- Professional Privilege Tax Reminder