Tennessee regulations
- Tennessee Department of Commerce and Insurance - Rule 0780-04-06-.02 Exemptions from Investment Adviser Representative RegistrationMay 7, 2026
Tennessee Department of Commerce and Insurance exempts certain individuals from investment adviser representative registration, including those not meeting SEC Rule 203A-3 criteria, uncompensated solicitors, and employees of exempt advisers not acti…
- Rule 0780-04-03-.08 Prohibited Business Practices - Broker-DealersMay 7, 2026
Tennessee Rule 0780-04-03-.08 prohibits broker-dealers from engaging in dishonest practices including unsuitable recommendations, unauthorized transactions, excessive trading, undisclosed fees, manipulative market conduct, and failure to comply with…
- Rule 0780-04-03-.09 Cybersecurity - Broker-Dealers
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