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T h e t n i an i q u an r t e r LY Volume 3, Issue 1 Summer 2011 2011 TN IAI Conference Registration October 1014, 2011 In this issue: 1 2011 Conference Crime Scene Certification Course Name (for
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Form TN IAI Quarterly is a report that provides information about investment adviser activities.
Investment advisers registered with the Securities and Exchange Commission (SEC) and operating in the state of Tennessee are required to file form TN IAI Quarterly.
Form TN IAI Quarterly can be filled out online through the Tennessee Department of Commerce and Insurance's website.
The purpose of form TN IAI Quarterly is to ensure that investment advisers operating in Tennessee are complying with regulations and to provide transparency into their activities.
Form TN IAI Quarterly requires information on assets under management, fees charged, client types, and investment strategies.
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