Tenn. Comp. R. & Regs. 0780-04-03 – Industry Regulation | Midpage

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Tennessee Rules and Regulations

Chapter 0780-04-03

Tenn. Comp. R. & Regs. 0780-04-03

Industry Regulation

0780-04-03-.01Registration 0780-04-03-.02Post Registration 0780-04-03-.03Oil and Gas Issuer-dealers 0780-04-03-.04Persons Deemed Not to Be Broker-dealers 0780-04-03-.05Exemptions from Investment Adviser Registration 0780-04-03-.06Investment Adviser Notice Filings 0780-04-03-.07Investment Adviser Custody or Possession of Funds or Securities of Clients 0780-04-03-.08Investment Adviser Financial and Disciplinary Disclosure 0780-04-03-.09Advertisement by Investment Advisers 0780-04-03-.10Written Disclosure Statements by Investment Advisers 0780-04-03-.11Persons Deemed Not to Be “Agents.”0780-04-03-.12Definition of “Client of an Investment Adviser.”0780-04-03-.13Cash Payments for Client Solicitations 0780-04-03-.14Agency Cross Transactions for Investment Advisory Clients 0780-04-03-.15Exemption from Broker-dealer Registration for Certain Canadian Broker-dealers 0780-04-03-.16Cybersecurity 0780-04-03-.17Investment Adviser Representative Continuing Education