ALERT: For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
For Investors
Learn the CORE FOUR
Learning about investing starts with the CORE FOUR: Making Investments, Investing for Retirement, Choosing a Financial Professional, and Scams & Unsuitable Investments. All are available in Spanish.
Order the 2019 Texas Investor Guide
The Texas Investor Guide is fresh, factual, and fully updated for 2019 with new information to help investors at all stages of life learn to invest wisely and avoid financial fraud. For free copies, provide a mailing address to relder@ssb.texas.gov.
The Latest News & Publications
Order the 2019 Texas Investor Guide
We expect to start mailing the 2019 edition of the Texas Investor Guide on Jan. 22, so the sooner you order copies the sooner you'll be able to start the new year with the unbiased, no-nonsense guidance you need to invest wisely and avoid financial fraud.
The Investor Guide is free, and...
Administrative Action Report Oct-Dec 2018
The following are summaries of administrative actions the Texas State Securities Board took from Oct. 1 through Dec. 31, 2018:
GoForex Group AKA Go Forex Group, Mary A. Scott, and Sharon Henderson: Emergency Cease and Desist OrderTexas Securities Commissioner Travis J. Iles on Oct. 10...
Investor Alert: Fraudulent Notice Falsely Claims Refunds Are Available from BitConnect Crypto Scam
A fraudulent notice that falsely claims to be from the Texas State Securities Board is telling people they can receive partial refunds of their investment in BitConnect , an overseas cryptocurrency company, by completing a refund form and submitting a $250 fee.
"This false page is an...
Dallas Adviser to Pay $52,569 in Fines and Reimbursed Fees
Brazos Securities Inc. of Dallas will pay a $20,000 fine to the State of Texas and pay $32,569 to a client who was charged excessive fees after being moved to an investment advisory account at the firm.
The Disciplinary Order , which Texas Securities Commissioner Travis J. Iles entered...
About the Texas Securities Board
Our Mission
The State Securities Board is responsible for administering and enforcing the Texas Securities Act. The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the formation of capital and the creation of new jobs in Texas.
