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Registration of Dealers & Investment Advisers
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Investing: Less Pain, More GainA baker's dozen articles on mutual funds, keys to retirement saving, the investing principles every investor should know – and a whole lot more.
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2017 Texas Investor Guide
The Latest News & Publications
Years before Mark Christopher Parman of Frisco started selling investments in oil and gas projects, he had been sanctioned by regulators, ordered to pay $2 million in restitution to previous investors and clients, and filed for bankruptcy.
Now add convict to Parman’s resume. He was...
The Texas State Securities Board has published resources to assist state-registered investment advisory firms and other registered professionals in developing and strengthening cybersecurity plans.
“Cyberattacks are on the rise, and their scope and complexity mean state-registered...
The following are summaries of administrative actions and orders taken from Jan. 1 through March 31, 2017.Robert Yrshus: Suspended, Fined
Texas Securities Commissioner John Morgan suspended the investment adviser representative registration of Robert Yrshus of Houston for 60 days and...
Most New Year's lists of the financial variety are inflicted on the public for no apparent reason. No one consistently predicts the direction of the stock market or can tell you the 10 Best Mutual Funds to buy or which mattresses will best conceal your cash.
The Texas State Securities...
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.