Tennessee regulations
- 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 registered broker-dealers, issuer-dealers, and investment advisers to establish written cybersecurity programs with risk assessments and safeguards, notify the Division with…
- Department of Commerce and Insurance - Rule 0780-04-06-.07 Investment Adviser Representative Continuing EducationMay 7, 2026
Tennessee investment adviser representatives must complete 12 continuing education credits per reporting period, including 6 credits in ethics and professional responsibility with at least 3 hours on ethics and 6 credits in products and practice.
- Department of Commerce and Insurance - Rule 0780-04-06-.06 Investment Adviser Representative Conduct Operating as Fraud or Deceit
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