• Form BD [pdf]
• Form BDW [pdf]
• Form BR [pdf]
• Form BR Instructions [pdf]
• Form IN-1493 (Designation of Accountant) [pdf]
• Form IN-0911 (Oil and Gas Issuer-Dealer Form) [Please contact the Division.]
• Form U4 [pdf]
• Form U4 Instructions [pdf]
• Form U5 [pdf]
• Form U5 Instructions [pdf]
• Form IN-0893 (Non-CRD Agent Renewal Form) [Please contact the Division.]
• Form U10 [pdf]

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

• Investment Adviser Filing Instructions and Forms
• Oil & Gas Issuer-Dealer Filing Instructions and Forms

Valuable Resources

• TN Professional Privilege Tax
• TN Securities Act of 1980
• TN Securities Rules
• Requesting Public Information from the Division
• SEC Website - Forms List
• SEC Guide to Corporate Filings
• SEC Investment Adviser Public Disclosure
• NASD Forms
• NASD Bookstore
• NASD Uniform Forms Reference Guide [pdf]
• NASD Public Disclosure Program

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