Investor Education Program

We have become a society of investors. Americans now put more money into investments each year than into savings accounts. Unfortunately, millions of dollars are lost by Tennessee investors through securities fraud, sales abuses, or an investor's failure to be fully educated on a particular issue. Frequently, these losses represent savings that have been painstakingly accumulated over many years or retirement funds that cannot be replaced. Victims are of all ages and levels of sophistication. In the majority of these losses, none of the investors' money is ever recovered. It is our hope to help prevent some of these losses.

Because state and federal securities regulators can't prevent all of the securities frauds and abuses that may occur in Tennessee, the Investor Education Program is designed to help investors protect themselves.

The Investor Education Program:

1. Provides practical, current information to help investors protect themselves.
2. Informs Tennesseans about basic securities laws and protections.
3. Alerts investors to potentially fraudulent securities schemes.
4. Provides seminars and other educational opportunities for students, senior citizens and other interested groups.

Requesting & Scheduling a Speaker

To schedule an Investor Education speaker, please call 615-253-8722 or 1-800-863-9117 for information.

Popular Topics »

1. Investment fraud, schemes, and scams
2. Preventing and resolving problems with investment professionals
3. Current investor alerts
4. Financial Literacy 2010 (financial literacy for students in grades 7 - 12)
5. Video presentations about securities investment, financial planning, stocks and bonds, mutual funds, retirement planning, and how to avoid scams
   Customized Programs

Information to Help You

This site contains information covering several investment-related topics including:

1. General information and tips on saving and investing.
2. Fraud avoidance
3. How senior citizens can avoid being taken advantage of and what steps to take if you feel you need to file a complaint
4. Links to other sites and agencies that can be helpful and informative. Useful forms are available for use offline and you can also find out how to determine if your salesperson is licensed to sell securities.

Valuable Resources

• About the Division
• Investor Bill of Rights
• Senior Specialists:  Look Beyond the Credentials
• Tips to Protect Your Retirement Nestegg
• Tennessee Solicitor - Do Not Call Program
• FTC National - Do Not Call Registry
• Investment Fraud Awareness Quiz
• IORC's Investing Simulator Center
• US Bureau of the Public Debt - Fraudulent Schemes
• How do I Investigate Before I Invest?
• Investment Fraud Checklist
• 10 Tips - How to Avoid Investment Fraud
• 10 Tips for Online Investors
• 10 Commandments of Personal Finance for Young People
• Saving Money Coloring Book
• Boiler Room Scams
• Nigerian Letters Scam
• Choosing Investment Advisers and Financial Planners
• Choosing Broker-dealers and Agents
• When Your Broker Calls
• 20 Questions on Selling Investments
• Common Sense Tips on Investing
• Your Investment Options
• Developing a Financial Plan & Setting Financial Goals
• Variable Annuities
• Viatical Settlements
• Been Done Dirty?
• Filing a Complaint
• Requesting Public Information
• NASD Investor Complaint Center
• Check out your Investment Adviser, NASD
• SEC Investment Adviser Public Disclosure
• SEC Office of Investor Education & Assistance
• Related Websites

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