Tennessee

  • 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 filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process (Form U2)
    • SEC Form 1-A with exhibits
  • Tennessee collects a variable fee: one tenth of one percent of the aggregate offering price of the securities which are to be offered in Tennessee, but  no less than $300 and  not to exceed a fee of $1,000. Fees should be payable to “Tennessee Department of Commerce and Insurance.”
  • Payments should be sent to the following address:

Mailing Address:

Tennessee Department of Commerce and Insurance
Securities Division – Registration Section
500 James Robertson Parkway, 8th Floor
Nashville, TN 37243-0584

For additional information, please visit www.tn.gov/commerce/section/securities or call 615-741-3187.

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