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 …

Promotes uniform regulation through examinations, comprehensive application review and approval, and monitoring of securities industry professionals and securities offerings.

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 …

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 …

Jan 17, 2025 · NASHVILLE – The Tennessee Department of Commerce & Insurance’s (TDCI) Securities Division today announced that it joined a taskforce of state securities regulators and …

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 …

Tennessee is a merit jurisdiction. Tennessee accepts the Uniform Application to Register Securities (Form U1), and does allow for electronic signature of forms.

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 …

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 …

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 …