The Tennessee Securities Division is responsible for enforcing the Tennessee Securities Act of 1980 and protecting the investors of Tennessee by maintaining the integrity of the securities …

The Tennessee Securities Division: 1. Regulates and monitors the securities industry to ensure protection of investors from firms and individuals who engage in dishonest and unethical …

Oct 22, 2020 · The Atlanta Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment …

Jul 2, 2024 · Find keywords and phrases in more than 20 years of EDGAR filings, and filter by date, company, person, filing category, or location. View a listing of real-time filings as they are …

To locate the section pertaining to Securities, enter the LexisNexis® Web site and scroll to Title 48, which contains the law for Securities, Corporations And Associations. Select “Securities”. …

Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and …

Tennessee is a merit jurisdiction. Tennessee accepts the Uniform Application to Register Securities (Form U1), and does allow for electronic signature of forms. Registration requires …

Jan 10, 2024 · Effective Dec. 25, 2023, a new rule Tennessee Securities Rule 0780-04-03-.05, allows qualifying reporting advisers, private fund advisers and venture capital firms to file an …

After the initial offer of a covered security in this state, all documents that are part of an amendment to a federal registration statement or Form D filed with the securities and …

Aug 14, 2018 · Federal securities laws are enforced by the U.S. Securities and Exchange Commission while the Tennessee Securities Division, which is a part of the Department of …