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Securities Division

Broker-Dealer and Agent Resources



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.)

Additional Information

Valuable Resources