The Tennessee Securities Division enforces the Tennessee Securities Act of 1980 to maintain the integrity of the securities market and to protect investors. The Division also promotes investor education and the prevention of fraud in the securities industry.

• NEW! Department of Commerce and Insurance Announces Financial Literacy Essay Contest for Tennessee High School Seniors
• NEW! Auction Rate Securities (ARA)
• Press Release: Tennessee Department Of Commerce And Insurance Securities Division Focuses On Fraud Prevention 02/29/2008
• Press Release: Investment Scams Often Hide Behind the Headlines 01/31/2008
• Investor Education Minute
• Press Release [pdf]
  • Consent Order [pdf]
• 2008-2009 Essay Contest
• Press Release » Securities Division Releases “Unlucky 13” List of Investor Traps for 2006
• Press Release »Tennessee Securities Division Urges Investigators to Carefully Check
  Credentials of “Senior Specialists” [pdf]
• Press Release » State of Tennessee Securities Division Warns [pdf] 07/29/2005
• Village Life Receivership
  » Village Life Suit Filed July 21, 2004 [pdf]
  » Press Release July 21, 2004
  » Proof of Claim Form [pdf]
  » Village Life Press Release [pdf]

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

• NEW!! Notice of Rulemaking Hearing Planned for 11/17/2008
• State Laws & Rules
• Federal Laws & Rules

• Agents
• Broker-Dealers
• Investment Advisers
• Investment Adviser
  Representatives
• Securities Offerings
• Professional Privilege Tax

Speaker Request Form

• Request Public Information
• Agents (off site)
• Broker-Dealers (off site)
• Investment Advisers (off site)
• Securities Offerings (off site)
• TN Enforcement Actions

• Investigate Before You Invest [pdf]
• Filing a Complaint
• TN Investor Education
• NASD Investor Complaint Center (off site)
• SEC Office of Investor Education & Assistance (off site)
• Related Websites