Securities Division
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News and Information
- Morgan Keegan Information:
- 2010-2011 Essay Contest Winners
- Tips and Information
- Form ADV Part 2
- Stanford Group Notice
- Form D Notice Filings Requirements Notice
- Auction Rate Securities (ARS) Update
- Investment Scams Often Hide Behind the Headlines 01/31/2008
- Tennessee Securities Division Urges Investors to Carefully Check Credentials of "Senior Specialists" [pdf]
- State of Tennessee Securities Division Warns [pdf] 07/29/2005
NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors:
Variable Annuity Sales/Insurance Producer License vs. Securities Registration or Dual Registration Requirement
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Division Sections
Commissioner
Daphne D. Smith
Assistant Commissioner
Contact Info
Mailing Address:
Department of Commerce and Insurance
Securities Division
500 James Robertson Parkway
Nashville, TN 37243-0575
Telephone:
Phone: 615-741-2947
Toll-Free: 1-800-863-9117
Fax: 615-532-8375
Rules and Laws
Mission
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.
- Small Business Advocate
About:
The Small Business Advocate is part of the Comptroller of the Treasury and was established to make state government more responsive to Tennessee’s small businesses.- Find out more
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