Tennessee regulations
- Tennessee Securities Division - Rule 0780-04-05-.09 Prohibited Business PracticesMay 7, 2026
Tennessee Securities Division Rule 0780-04-05-.09 prohibits investment advisers from unsuitable recommendations, unauthorized trading, undisclosed conflicts, fees exceeding 2%, misrepresentation of qualifications, and violations of fiduciary duties.
- Tennessee Securities Division - Rule 0780-04-05-.08 Brochure RequirementsMay 7, 2026
Tennessee Securities Division requires investment advisers to deliver Form ADV Part 2A brochures to clients at least 48 hours before contract execution, with annual updates within 120 days of fiscal year-end.
- Tennessee Securities Division - Rule 0780-04-05-.07 Reporting Requirements
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