Securities - Tennessee State Government - TN.gov
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.
Tennessee Securities Industry Professionals - TN.gov
Promotes uniform regulation through examinations, comprehensive application review and approval, and monitoring of securities industry professionals and securities offerings.
Atlanta Regional Office - SEC.gov
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.
Divisions and Offices - SEC.gov
Regional Offices. SEC Organization Chart (text version also available) Last Reviewed or Updated: Jan. 24, 2025.
SEC.gov | Home
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 Joins Multiple States in Settlement Regarding …
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.
Tennessee - NASAA
Tennessee is a merit jurisdiction. Tennessee accepts the Uniform Application to Register Securities (Form U1), and does allow for electronic signature of forms.
TDCI’s Securities new exemption filing requirements
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 Securities Act and Investment Fraud Laws - FindLaw
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.
Tennessee Code § 48-1-103 (2021) - Exemptions :: 2021 Tennessee …
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;