For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
New: Articles on InvestingA dozen articles on mutual funds, asset classes, keys to retirement saving, the investing principles and topics every investor should know – and a whole lot more.
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The Latest News & Publications
Charles Schwab & Co. Inc. was reprimanded and agreed to pay a $95,000 fine for failing to verify that certain individuals with powers of attorney in client accounts were required to be registered as investment advisers.
The reprimand and fine are part of a Consent Order entered by...
Texas Securities Commissioner John Morgan announced today that Travis J. Iles has been named Deputy Commissioner of the State Securities Board.
Iles joined the State Securities Board in 2001 and for the past six years served as Assistant Director of the Enforcement Division. He also...
Enticed by the promise of quick profits, investors in and around the small South Texas town of Alice sunk at least $5 million into Michael Anthony Collins’ stock-trading operation only to see their money stolen outright or used to fund a Ponzi scheme.
Collins pleaded guilty to charges of...
Texas Securities Commissioner John Morgan entered an Emergency Cease and Desist Order on Aug. 15 that requires Bobby Eugene Guess, an unregistered investment promoter, to stop engaging in fraud in marketing promissory notes tied to a wide array of businesses.
The emergency order cites...
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.