SECTION 102.2. Definitions

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The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise.
(1) Complaint--a written communication submitted to the Agency by a person that alleges misconduct by an individual or entity believed to be engaged in an activity that is regulated by the Agency.
(2) Complainant--person filing a complaint with the Securities Commissioner.
(3) Jurisdictional authority--conduct regulated by the Agency as provided for in the Act and Board rules.

Source Note: The provisions of this §102.2 adopted to be effective February 27, 2020, 45 TexReg 1218

                    
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