Tennessee regulations
- Rule 0780-04-03-.01 Broker-Dealer RegistrationMay 7, 2026
Tennessee broker-dealer registration requires Form BD submission through CRD System or direct filing, with principal examination evidence and net capital compliance documentation; applications are deemed complete upon receipt of all requested materi…
- Rule 0780-04-03-.02 Exclusions and Exemptions from Broker-Dealer RegistrationMay 7, 2026
Tennessee Rule 0780-04-03-.02 exempts associated persons of issuers and Canadian broker-dealers from registration if they meet compensation, activity, and filing requirements, with antifraud provisions applying to all excluded parties.
- Rule 0780-04-03-.09 Cybersecurity (Broker-Dealer Regulation)
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