Filing Instructions and Forms

Electronic Filing - FINRA

​Click here for information regarding electronic filings with FIRNA.

Industry Registrants

Agents and Broker-Dealers

Forms
Form BD [pdf]
Form BDW [pdf]
Form BR [pdf]
Form BR Instructions [pdf]
Form IN-1493 (Designation of Accountant) [pdf]
Form IN-0911 (Oil and Gas Issuer-Dealer Form) [Please contact the Division.]
Form U4 [pdf]
Form U4 Instructions [pdf]
Form U5 [pdf]
Form U5 Instructions [pdf]
Form IN-0893 (Non-CRD Agent Renewal Form) [Please contact the Division.]
Form U10 [pdf]
 

Filing Instructions
Broker-Dealer and Agent Registration Instructions [pdf]
Broker-Dealer Post-registration Requirements [Please contact the Division.]
Oil and Gas Issuer-Dealer Renewal Instructions [Please contact the Division.]
Definitions [pdf] (This compilation is intended solely as an informal guide – please see the Tennessee Securities Act of 1980, as amended, and the Tennessee Securities Rules promulgated thereunder for the original definitions and the context in which they have been formally adopted.)

Valuable Resources
TN Professional Privilege Tax
TN Securities Laws & Rules
Requesting Public Information from the Division
SEC Website - Forms List
SEC Guide to Corporate Filings
SEC Investment Adviser Public Disclosure
FINRA Forms
FINRA BrokerCheck

Investment Advisers and Investment Adviser Representatives

Forms
Form ADV
TN Sec Div IA Notification [pdf]
Form ADV-W [pdf]
Form IN-1381 (State Registration Renewal Form) [pdf]
Form U4 [pdf]
Form U4 Instructions [pdf]
Form U5 [pdf]
Form U5 Instructions [pdf]
Form U10 [pdf]
Form IN-1493 (Designation of Accountant) [pdf]

Filing Instructions
State Filing Instructions for Firms and Individuals [pdf]

Other Valuable Resources
TN Professional Privilege Tax
TN Securities Laws & Rules
Requesting Public Information from the Division
SEC Website - Forms List
SEC Website - Investment Adviser Forms
SEC Guide to Corporate Filings
SEC Investment Adviser Public Disclosure
FINRA Forms
FINRA BrokerCheck

Oil & Gas Issuer-Dealers

Forms
Form BD [pdf]
Form BDW [pdf]
Form BR [pdf]
Form BR Instructions [pdf]
Form IN-1493 (Designation of Accountant) [pdf]
Form IN-0911 (Oil and Gas Issuer-Dealer Form) [Please contact the Division.]
Form U4 [pdf]
Form U4 Instructions [pdf]
Form U5 [pdf]
Form U5 Instructions [pdf]
Form IN-0893 (Non-CRD Agent Renewal Form) [Please contact the Division.]
Form U10 [pdf]

Filing Instructions
Broker-Dealer and Agent Registration Instructions [pdf]
Broker-Dealer Post-registration Requirements [Please contact the Division.]
Oil and Gas Issuer-Dealer Renewal Instructions [Please contact the Division.]
Definitions [pdf] (This compilation is intended solely as an informal guide – please see the Tennessee Securities Act of 1980, as amended, and the Tennessee Securities Rules promulgated thereunder for the original definitions and the context in which they have been formally adopted.)

Other Valuable Resources
TN Professional Privilege Tax
TN Securities Laws & Rules
Requesting Public Information from the Division
SEC Website - Forms List
SEC Guide to Corporate Filings
SEC Investment Adviser Public Disclosure
FINRA Forms
FINRA BrokerCheck

Issuers

Securities Offerings

The Registration Section conducts a merit review of each application for registration based upon detailed guidelines and requirements and the overriding principle that the terms of the offering must be fair, just, and equitable.

Forms
Form U-1 [pdf]
Forms U-2 and U-2A [pdf]
Form D [pdf]
Form NF [pdf]
Form IN-1460 (Accredited Investor Notice Form) [pdf]
Form IN-1461 (Employer Purchase Plan Notice Form) [pdf]
Form IN-1808 Invest Tennessee Exemption Notice Form [pdf]

Filing Instructions
Securities Registration Instructions [pdf]

Other Resources
TN Securities Act of 1980
TN Securities Laws & Rules
Requesting Public Information from the Division
SEC Guide to Corporate Filings [pdf]


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