Tennessee regulations
- 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…
- Department of Commerce and Insurance - Rule 0780-04-06-.05 Prohibited Business Practices for Investment Adviser RepresentativesMay 7, 2026
Department of Commerce and Insurance prohibits investment adviser representatives from unsuitable recommendations, excessive trading, unauthorized transactions, undisclosed conflicts, and fees exceeding 2%, while requiring written authority and clie…
- Tennessee Securities Division - Chapter 0780-04-05-.05 Written Policies and Procedures
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