Click here and select Securities Laws and Regulations to recieve electronic notifications of Securities Division bulletins, memos, and other regulatory efforts.
2014 Investment Adviser
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
Tennessee Securities Division
8th Floor, 500 James Robertson Parkway
Nashville, TN 37243-0575
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.