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Bulletins and Notices

 

This document will be updated as new bulletins and notices are issued.


You can also view all Bulletins and Notices on an interactive Timeline! - Click here!


 

Instructions: How to use this document

REFERENCE KEY: DEPARTMENT IDENTIFIERS (“ID”)

Securities Division: SEC


Unofficial Bulletins are marked as such by placing the word (Unofficial) before the Bulletin Title.


Bulletins are listed by Date and Division.  Bulletins are identified using the following format:  YYYY-##-ID:  where YYYY is the year in which the Bulletin was issued, the ## is a two-digit number listing that is consecutively assigned across all Divisions and are restarted at the beginning of each new calendar year and the ID is the Division ID code (from the list above).  Bulletins without a known issued date are listed as “0000” in the year field of the ID and as “Unknown” in the date field.


Bulletins are hyperlinked to the actual copy of the Bulletin on the TN.GOV website, unless unavailable.  If the hyperlink is not active, you must contact the Division or Board to obtain a copy of the Notice or Bulletin.


You can also find the policy by Title or ID using the search function above.


 



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Securities

ID Date Title

2011-05-SEC

31-Jul-11

Requests for Confidential Treatment of Specific Information

2010-09-SEC

06-Oct-10

IA Alert: New Form ADV Part 2

2010-01-SEC

20-Jan-10

Form D Notice Filing Requirements

2009-09-SEC

27-Jul-09

Auction Rate Securities Notice

2009-06-SEC

15-Jul-09

Broker-Dealer Reporting Requirements - Tennessee Securities Rule 0780-4-3.02(2)

2009-05-SEC

27-Feb-09

Stanford Capital Group Notice

2008-05-SEC

28-Jan-08

Securities Division Reminds Investors that Scams Often Hide Behind the Headlines

2005-11-SEC

12-Dec-05

Securities Division Urges Investors to Carefully Check Credentials of "Senior Specialists"

2004-02-SEC

2-Feb-04

Amendment to Limited Liability Company Interests as Securities

1996-01-SEC

04-Apr-96

Order Designating Tier I of the Philadelphia Stock Exchange

1995-01-SEC

7-Mar-95

Limited Liability Company Interest as Securities

1991-05-SEC

11-Sep-91

Approval of Securities Listed on the Chicago Board Options Exchange for Purposes of Claiming Exchange Exemption

1990-04-SEC

11-May-90

Foreign Bank Domestic Branch Securities Exemption

1987-01-SEC

12-Feb-87

Scope of Policy on Sponsor Indemnification

1986-04-SEC

14-Nov-86

Rescission Offers

1986-03-SEC

17-Oct-86

Publishers of Securities Newsletters

1986-02-SEC

9-Sep-86

Liability, Indemnification, and Advances

1986-01-SEC

9-Sep-86

Employee Stock Purchase Plans

1985-05-SEC

10-Oct-85

Securities Issued in Connection with Other Exempt Securities

1985-04-SEC

10-Oct-85

Foreign Bank Domestic Branch Letters of Credit

1985-02-SEC

17-Jul-85

Notice to Registered Broker-Dealers and Investment Advisers (Reporting Requirements)

1985-01-SEC

21-Feb-85

Zero Coupon Bond Promotions