Tennessee regulations
- Tennessee Securities Division - Rule 0780-04-03-.02: Post Registration Requirements for Broker-Dealers and Investment AdvisersMay 7, 2026
Tennessee Securities Division Rule 0780-04-03-.02 requires registered broker-dealers and investment advisers to maintain five-year records, report regulatory actions, prohibit unsuitable recommendations and unauthorized transactions, and disclose co…
- Tennessee Securities Division - Rule 0780-04-03-.01: Registration of Broker-Dealers, Agents, and Investment AdvisersMay 7, 2026
Tennessee Securities Division requires broker-dealers, agents, investment advisers, and representatives to register through CRD/IARD systems with minimum net capital of $25,000 for broker-dealers and $15,000 for investment advisers, plus Series 7, 6…
- Tennessee Department of Commerce and Insurance - Chapter 0780-04-07 Oil and Gas Issuer-Dealers Regulation
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