Tennessee regulations
- Tennessee Department of Commerce and Insurance, Securities Division - Chapter 0780-04-06: Investment Adviser Representative RegulationMay 7, 2026
Tennessee's investment adviser representative regulations establish IARD registration procedures, examination requirements, criminal-action reporting mandates, and prohibitions on unsuitable recommendations and misuse of professional designations.
- Tennessee Department of Commerce and Insurance, Securities Division - Chapter 0780-04-07: Oil and Gas Issuer-DealersMay 7, 2026
Tennessee Department of Commerce and Insurance establishes registration and operational standards for oil and gas issuer-dealers under Chapter 0780-04-07 to regulate the offer and sale of oil and gas securities.
- Rule 0780-04-03-.08 Prohibited Business Practices - Broker-Dealers
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