Tennessee regulations
- Tennessee Securities Division - Rule 0780-04-05-.04 Investment Adviser Net Capital RequirementsMay 7, 2026
Tennessee Securities Division requires registered investment advisers to maintain minimum net capital of $20,000, or $35,000 if holding client custody, with exemptions available for compliant out-of-state advisers.
- Tennessee Department of Commerce and Insurance, Securities Division - Chapter 0780-04-03: Broker-Dealer RegulationMay 7, 2026
Tennessee broker-dealer regulations establish registration, net capital, supervisory, and cybersecurity requirements for all firms operating in the state, with mandatory CRD System filing and event notification protocols.
- Tennessee Securities Division - Rule 0780-04-03-.08: Investment Adviser Financial and Disciplinary Disclosure
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