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Texas Administrative Code (Last Updated: March 27,2024) |
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TITLE 7. BANKING AND SECURITIES |
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PART 7. STATE SECURITIES BOARD |
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CHAPTER 116. INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES |
| § 116.1. General Provisions |
| § 116.2. Application Requirements |
| § 116.3. Examination |
| § 116.4. Evidences of Registration |
| § 116.5. Minimum Records |
| § 116.6. Registration of Persons with Criminal Backgrounds |
| § 116.7. Maintenance and Inspection of Records |
| § 116.8. Fee Requirements |
| § 116.9. Post-Registration Reporting Requirements |
| § 116.10. Supervisory Requirements |
| § 116.11. Disclosure Requirement/Brochure Rule |
| § 116.12. Advisory Contract Requirements |
| § 116.13. Advisory Fee Requirements |
| § 116.14. Prevention of Misuse of Nonpublic Information |
| § 116.15. Advertising Restrictions |
| § 116.16. Use of Senior-Specific Certifications and Professional Designations |
| § 116.17. Custody of Funds or Securities of Clients by Registered Investment Advisers |
| § 116.18. Special Provisions Relating to Military Applicants |
| § 116.21. System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Section 45 |
| § 116.22. Electronic Submission of Forms and Fees |
| § 116.23. Notice of Cybersecurity Incident |