Tennessee regulations
- Tennessee Department of Commerce and Insurance, Securities Division - Chapter 0780-04-07: Oil and Gas Issuer-DealersMay 7, 2026
Tennessee Department of Commerce and Insurance establishes registration and operational standards for oil and gas issuer-dealers under Chapter 0780-04-07 to regulate the offer and sale of oil and gas securities.
- Tennessee Department of Commerce and Insurance - Rule 0780-04-05-.11 CybersecurityMay 7, 2026
Tennessee Department of Commerce and Insurance Rule 0780-04-05-.11 requires broker-dealers, issuer-dealers, and investment advisers to implement written cybersecurity programs with risk-based safeguards and notify the Division within three business …
- Tennessee Department of Commerce and Insurance - Rule 0780-04-06-.04 Investment Adviser Representative Reporting Requirements
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