For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
Investing: Less Pain, More Gain
A baker's dozen articles on mutual funds, keys to retirement saving, the investing principles every investor should know – and a whole lot more.
Texas Investor Guide 2018
Coming in January: The 2018 edition of the Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud. As always, the new Investor Guide is fully updated, and includes new material on robo-advisory firms and cryptocurrencies. Details on ordering are coming soon.
The Latest News & Publications
The Texas State Securities Board has developed a form to help financial firms report critical information about the suspected financial exploitation of vulnerable adults.
Reporting this type of suspected financial exploitation is required under Section 45 of the Texas Securities Act ....
Richard L. Havard , a registered investment adviser representative in the North Dallas suburb of Prosper, has been fined $7,500 and reprimanded for failing to disclose $192,573 in IRS tax liens.
Texas Securities Commissioner Travis J. Iles imposed the sanctions in a Disciplinary Order...
James Elton “Jim” Warr of Austin, who promised guaranteed returns from investing in real estate, was sentenced to 15 years in state prison on Dec. 1 after his conviction in Travis County on four first-degree felony counts.
Warr, 69, stole $1.1 million from individuals who bought...
We don’t mean to add to the stress of this long holiday season, but there is another kind of stress that makes decisions about holiday decorations look like a walk in the park.
It’s financial stress, and making ill-advised investment decisions is a leading cause. Sometimes it’s buying...
About the Texas Securities Board
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.