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 2020 Texas Investor Guide
Order the 10th anniversary edition of the Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud. For free copies, provide a mailing address to relder@ssb.texas.gov. The Investor Guide is also in Spanish.
The Latest News & Publications
Order Seeks to Lower Curtain on Nick Steele & TheCryptoFacts
The alleged cryptocurrency trading scheme perpetrated by Nickolas Steele, aided by his CryptoFacts Facebook page, should be shut down as an immediate danger to Texas residents, according to an Emergency Cease and Desist Order entered May 15.
The State Securities Board order targets a...
Dallas Adviser Lorintine Fined $10,000 for Charging Performance-Based Fees
Lorintine Capital LP, a Dallas investment adviser, was fined $10,000 for charging performance-based fees to clients whose net worth wasn’t high enough for them to be charged the fees.
Lorintine Capital was also reprimanded as part of a Disciplinary Orde r entered by Texas Securities...
COVID-19 News and Updates
Texas State Securities Board news, investor alerts, and operational updates related to the pandemic are available on our COVID-19 News & Updates page.
COVID-19 News & Updates will be reguarly updated and includes:
News releases on enforcement actions and other measures being...Accept No Substitutes: There's Only One Texas State Securities Regulator
UPDATE: U.S. District Judge Lee Yeakel on May 7 granted the federal government’s application for a preliminary injunction in the case.U.S. District Judge Lee Yeakel on April 23 issued a temporary restraining order to shut down the website of an entity that is allegedly pretending to be an...
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.
