Tennessee regulations
- Tennessee Department of Commerce and Insurance, Securities Division - Chapter 0780-04-05: Investment Adviser Regulation (New Rules)May 7, 2026
Tennessee investment adviser rules establish registration, net capital, cybersecurity, and conduct standards through IARD procedures with exemptions for qualifying private fund advisers and mandatory breach notification requirements.
- Tennessee Securities Division - Rule 0780-04-03-.03: Oil and Gas Issuer-Dealer RegistrationMay 7, 2026
Tennessee Securities Division requires oil and gas issuer-dealers to register with Form IN-0911, $100 filing fee, and annual renewal by December 31 for $50, with material changes reported within 10 days.
- Tennessee Securities Division - Rule 0780-04-03-.04: Persons Deemed Not to Be Broker-Dealers
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Plain-English summaries