Rules & Regulations of the State of Tennessee
Title 0780 - Commerce and Insurance
Subtitle 0780-04 - Division of Securities
Chapter 0780-04-01 - General Administration
Section 0780-04-01-.05 - NO-ACTION LETTERS AND INTERPRETIVE OPINIONS

Universal Citation: TN Comp Rules and Regs 0780-04-01-.05

Current through September 24, 2024

(1) In case of any question concerning the Act, the Division staff may in its sole discretion entertain a request for a no-action letter or interpretive opinion. If issued, a no-action letter or an interpretive opinion only expresses the current position of the Division staff with respect to enforcement, and is not binding on the commissioner or third parties. A request for a no-action letter or interpretive opinion must be in writing and in the format described in SEC Release No. 33-6269.

(2) The Division will maintain an index, chronologically and by statutory section, of all no-action letters and interpretive opinions issued. Copies of such letters may be reviewed in the Division's office and copies thereof obtained upon payment of reasonable costs of duplication.

Authority: T.C.A. §§ 48-1-115, 48-1-116, and 48-1-117(e).

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