Tennessee Form IN-1461 (Employer Purchase Plan Notice Form)[pdf]
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How to fill out Tennessee Form IN-1461 (Employer Purchase Plan Notice Form)[pdf]?
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FAQ
§48-1-109 of the Tennessee Securities Act of 1980, which requires that broker-dealers, agents, investment advisers, and investment adviser representatives register before they can lawfully conduct business in the state of Tennessee.
Submit a filing fee of $50.00. Make check payable to the Tennessee Department of Commerce and Insurance.
§48-2-103(b)(6) Another Tennessee exemption applies if the aggregate amount of securities sold in Tennessee in the offering by a Tennessee issuer does not exceed $250,000 during any 12-month period, and no commission or other remuneration is paid or given directly or indirectly for soliciting any purchaser in Tennessee
When an agent begins or terminates a connection with a broker-dealer, or begins or terminates those activities which make such person an agent, both the agent and the broker-dealer shall promptly notify the commissioner.
The Tennessee Securities Division is responsible for enforcing the Tennessee Securities Act of 1980 and protecting the investors of Tennessee by maintaining the integrity of the securities market. We accomplish this function through the regulation of the securities industry and capital markets of Tennessee.