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 2019 Texas Investor Guide
The Texas Investor Guide is fresh, factual, and fully updated for 2019 with information to help investors at all stages of life learn to invest wisely and avoid financial fraud. For free copies, provide a mailing address to relder@ssb.texas.gov. The Investor Guide is available in Spanish.
The Latest News & Publications
In A Self-Directed IRA, Make Sure You're Not Your Own Worst Enemy
View this Investor Alert, Self-Directed IRAs: More Choices, More Risk , in a print-ready format.Investing for retirement usually means buying stocks, bonds, and mutual funds through a workplace retirement plan like a 401(k) or in your own Individual Retirement Account (IRA).
If you...
Hearing Set in Action Against Precious Metals Company Targeting Elderly
The State Office of Administrative Hearings has scheduled a hearing for May 28-29 in Austin on a precious metals company’s challenge to an Emergency Cease and Desist Order that accuses the company and its representatives of not being registered to render investment advice and perpetrating a...
Order: Elderly Dallas Woman Victim in Widespread Precious Metals Fraud
Texas Securities Commissioner Travis J. Iles entered an emergency action on May 1 against Metals.com, an unregistered firm accused of cold-calling elderly investors to convince them to liquidate their securities in registered firms and invest in precious metals.
According to the...
LPL Pays $450,000 to Texas for Selling Unregistered Securities
LPL Financial LLC will pay a $450,000 fine to the State of Texas and repurchase certain securities it sold to investors, Texas Securities Commissioner Travis J. Iles announced April 11.
The Consent Order with Texas is part of national settlement between state securities regulators and...
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.
