For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
Investing: The More You KnowA baker's dozen articles on mutual funds, asset classes, keys to retirement saving, the investing principles every investor should know – and a whole lot more.
Free Copies of Veterans Handbook and A Salute to Smart InvestingTo receive free copies of the Veterans Handbook: Tactics for Civilian Life, email Robert Elder, Communications & Education Coordinator, at firstname.lastname@example.org and provide a mailing address. Also available: A Salute to Smart Investing, for active members of the military.
The Latest News & Publications
Securities dealer and investment adviser registrations and notice filings for investment advisers, as well as those for their agents and representatives, expire at the end of the calendar year.
Renewal statements were sent to registrants the week of November 8, 2016.
To honor our military, the Texas State Securities Board offers two resource-packed financial guides to help veterans and active members of the military make confident, informed financial decisions.
Two publications – the Veterans Handbook: Tactics for Civilian Life and A Salute to Smart...
Susan Gay Pruitt, who sold interests in phantom oil and gas exploration projects in Texas and three other states, was sentenced to 22 years in prison on Tuesday in Collin County State District Court.
Pruitt pleaded guilty to theft and money laundering on Monday as her trial was about to...
Texas Securities Commissioner John Morgan entered a Disciplinary Order on Oct. 14 that suspended Jens Pinkernell, an investment adviser representative, for five years.
As part of the order, Pinkernell repaid $46,915 to two clients who were charged unauthorized and excessive fees by...
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.