Securities
This term refers to state-level laws in the U.S. that regulate the offering and sale of securities to protect the public from fraud.
What are blue sky laws?
In Tennessee, insurance is primarily regulated under this title of the Tennessee code.
What is Title 56?
This code section addresses fraudulent acts and devices involving securities.
What is 48-1-121?
This coworker practice Krav Maga, was almost a clothing model for Shaq's line, and believes pineapple belongs on pizza.
Who is Devin?
This section in Tennessee investigates allegations of fraud, waste, abuse, and other violations of state or federal laws involving insurance and security entities.
What is Financial Services Investigation Unit (FSIU)?
This type of fraud pays profits to earlier investors with funds from more recent investors.
What is a Ponzi Scheme?
This national organization provides electronic tools and services to help states with licensing, continuing education, and regulatory enforcement.
What is the National Association of Insurance Commissioners (NAIC)?
This code section requires registration as a broker-dealer, agent, investment adviser, or investment adviser representative.
What is 48-1-109?
This coworker has a Dachshund named Dolly, can play piano, and seems to be a good singer.
Who is Renee? (We are still waiting on her edition of Blue Christmas)
This organization's primary mission is to reduce the incidence of fraud and white-collar crime and to assist members with detection and deterrence.
What is the Association of Certified Fraud Examiners (ACFE)?
This Financial Industry Regulation Authority (FINRA) online tool allows users to research brokers, advisers, and firms, including registration statuses and disclosures.
What is BrokerCheck?
A business entity insurance license expires biennially on this date.
What is March 1st?
This code section provides the definitions used within the insurance statue.
What is 56-6-102?
This coworker dreams of rehabilitating animals one day, loves the beach, and has a python among their many pets.
Who is Amber?
This beverage was designated as the official state beverage of Tennessee in 2009.
What is milk?
This landmark Tennessee Supreme Court case is used in Tennessee when determining whether an investment contract is a security.
What is King v. Pope?
After an insurer notifies the Commissioner of a termination, they must notify the terminated producer within this number of days.
What is 15 days?
This code section gives the Commissioner authority to issue stop orders denying, suspending, or revoking registrations.
What is 48-1-108?
This coworker enjoys writing poetry, loves being underwater (not drowning), and dreams of visiting Italy.
Who is Sibel?
If frequent-flier miles were points here, these two coworkers would be tied - each having traveled about 8,000 miles from home to another country.
Who is Bailey and Brandon?
In 1911, this state was the first to adopt securities laws.
What is Kansas?
After failing the first insurance exam attempt, an individual must wait this many days before reapplying to take the exam a second time.
What is 10 days?
This code section requires a $50 application fee for an insurance producer license.
What is 56-6-121?
This coworker has appeared as a background actor in films and TV shows, got hit by a car in Greece, and hopes to visit all 50 states.
Who is Bailey?
This TV show reportedly consumed over 100 cheesecakes during its seven-season run.
What is The Golden Girls?