Securities Division's Mission

The Tennessee Securities Division is responsible for enforcing the Tennessee Securities Act of 1980 and to protect 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. In this country, regulation of the securities industry is a shared effort among federal, state and self regulatory agencies. This division also advocates investor education in the prevention of fraud in the this industry. Through investor education, Tennesseans can avoid bogus securities scams and keep Tennessee's capital markets viable. Our division is divided into the three sections listed below.

• Broker-dealer & Investment Adviser Registration
• Enforcement
• Securities Registration

The Tennessee General Assembly drafted the State's first Securities Act in 1913. We currently operate under the Tennessee Securities Act of 1980, T.C.A. 48-2-101. The Tennessee Securities Division is a member of the North American Securities Administrators Association (NASAA), which is the national organization of state securities regulators, Puerto Rico, the provinces of Canada, and Mexico. NASAA's headquarters is in Washington D.C., and can be reached by telephone at 202-737-0900.

If you have any questions or suggestions, please click here for contact information.

• State Laws and Rules
• Federal Laws and Rules

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