Tennessee regulations
- Department of Commerce and Insurance - Rule 0780-04-06-.04 Investment Adviser Representative Reporting RequirementsMay 7, 2026
Investment adviser representatives must report felony indictments, securities-related misdemeanors, and regulatory complaints or orders to the Division of Commerce and Insurance upon request.
- Department of Commerce and Insurance - Chapter 0780-04-07 Oil and Gas Issuer-Dealers Regulation - Rule 0780-04-07-.01May 7, 2026
Tennessee oil and gas issuer-dealers must register with Form IN-0911, a $100 filing fee, and consent to service of process; registrations expire December 31 annually and renew for $50 at least 10 business days prior.
- Tennessee Department of Commerce and Insurance - Chapter 0780-04-06 Investment Adviser Representative Regulation
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