Tennessee regulations
- Tennessee Securities Division - Rule 0780-04-03-.06: Investment Adviser Notice FilingsMay 7, 2026
Tennessee Securities Division requires federal covered investment advisers to file notice through IARD within 10 days of commencing operations and submit Form ADV with applicable fees unless previously paid.
- Tennessee Department of Commerce and Insurance - Chapter 0780-04-07 Oil and Gas Issuer-Dealers RegulationMay 7, 2026
Tennessee Department of Commerce and Insurance requires oil and gas issuer-dealers to register with Form IN-0911, $100 filing fee, and annual renewal by December 31 for $50, effective 30 days after application completion.
- Tennessee Department of Commerce and Insurance - Rule 0780-04-06-.07 Investment Adviser Representative Continuing Education
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