The Securities Division maintains a public register of all registration applications and registration statements and all denial, suspension, or revocation orders. The register is available for public inspection during the Division's normal business hours, between 8:00 A.M. and 4:30 P.M., CST. Copies of any public document, including registration statements, applications, notice filings or reports are available on request and upon payment of copying charges.

Broker-Dealer and Investment Adviser Registration Section

Larry D. Burton, Chief

Registration status, disclosure information, financial statements and other information regarding agents (individual stockbrokers), broker-dealers (brokerage firms), or investment advisers is available through the Broker-Dealer and Investment Adviser Registration Section.

If you know the name or CRD number of a particular firm or individual, we can determine whether that firm or individual has filed with the Division, the dates of the filings, if and when any registrations were approved, and whether there is any disclosure information available. If you do not know a registrant's CRD number, it is helpful to provide the full name if possible, the principal place of business (city and state), any other business names (for firms) and the name of the employing firm (for individuals).

You may also access the NASD (agents and broker-dealers) and SEC (investment advisers) disclosure programs online. These tools can be used to conduct on-line searches for agents, broker-dealers and investment advisers.

Tennessee Securities Division

Enforcement Section

Dale B. Clements, Chief

The Enforcement Section is responsible for the enforcement of Tennessee's securities laws. Investors or potential investors who suspect a violation of the law are encouraged to contact this office.

For information regarding denial, suspension, or revocation orders which have ever been entered under the Act, please contact the Enforcement Section. Also, check here to view on-line any orders recently issued by the Division.

Securities Registration Section

Cora M. Alston, Chief

The Securities Registration Section has the registration status and other information regarding securities offerings. While most securities are required to be registered with the Division, there are several exemptions listed in Section 48-2-103 of the Act. If an issuer is not required to submit filings with the Division, that issuer is responsible for advising investors of the non-filing status of a particular security based upon these exemptions. Please contact the Securities Registration Section for information on self-executing exemptions.

To request information on a particular securities offering, please include as complete a name as possible, as well as the year in which it was being offered in Tennessee. The majority of securities offerings filed with the Division are paper filings, and completed filings are valid for one year. After that, the filings are maintained for an additional ten years before being destroyed. However, while the filings themselves are unavailable after ten years, the Division maintains a register of all filings that have ever been made effective.

In addition to contacting us, you may also access the SEC EDGAR database. This tool is useful in conducting on-line searches for securities offerings and related documents.

Tennessee Securities Division

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