Tennessee regulations
- Rule 0780-04-03-.06 Broker-Dealer Reporting RequirementsMay 7, 2026
Broker-dealers must file audited financial reports with independent CPA certification upon Division request, report securities-related criminal or civil actions, notify of control transfers or name changes within 30 days, and provide electronic noti…
- Rule 0780-04-03-.01 Broker-Dealer RegistrationMay 7, 2026
Tennessee broker-dealer registration requires Form BD submission through CRD System or direct filing, with principal examination evidence and net capital compliance documentation; applications are deemed complete upon receipt of all requested materi…
- Rule 0780-04-03-.16 Cybersecurity - Investment Advisers
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