Posts tagged desk-examinations.
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Tennessee Securities Division Expands Exam Program
The Tennessee Securities Division, Department of Commerce and Insurance (Julie Mix McPeak, Comm'r) recently confirmed its launch of a comprehensive three-year cycle examination program covering all Tennessee-based broker-dealers and state-registered investment advisers. The examinations will be "desk-examinations" requiring registrants to provide detailed documentation in response to some 18 categories of inquiry designed to ferret out non-compliant firms or "red flags" that may indicate regulatory violations. Unresolved issues or red flags will trigger ...
Posted in: Tennessee
Tags: broker-dealers, Department of Commerce and Insurance, desk-examinations, Frank Borger-Gilligan, Julie Mix McPeak, state-registered investment advisers, Tennessee, Tennessee Securities Division
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