Tennessee regulations
- Tennessee Securities Division - Rule 0780-04-03-.07: Investment Adviser Custody or Possession of Funds or SecuritiesMay 7, 2026
Tennessee investment advisers holding client funds or securities must segregate assets, maintain separate accounts, provide custody notices and quarterly statements, file financial reports, and undergo annual independent audits.
- Tennessee Securities Division - Rule 0780-04-03-.03: Oil and Gas Issuer-Dealer RegistrationMay 7, 2026
Tennessee Securities Division requires oil and gas issuer-dealers to register with Form IN-0911, $100 filing fee, and annual renewal by December 31 for $50, with material changes reported within 10 days.
- Tennessee Securities Division - Rule 0780-04-03-.02: Post Registration Requirements for Broker-Dealers and Investment Advisers
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