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.
2018 Texas Investor Guide
The Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud is fully updated with new information about investing and how to avoid financial fraud. It is also available in Spanish. For free copies, provide a mailing address to relder@ssb.texas.gov.
The Latest News & Publications
Forex Firm, Targeting Small Investors, Ordered to Halt Offerings
Texas Securities Commissioner Travis J. Iles on Oct. 10 took emergency action against a financial firm that is promising investors of limited financial means that it can produce huge returns from investments in foreign currency trading, real estate, and oil and gas.
The Securities...
State Regulators Release Annual Enforcement Report
The North American Securities Administrators Association (NASAA) today released its annual enforcement report, which shows a reversal in a recent trend as more enforcement actions were taken in 2017 against unregistered individuals or firms than registered members of the securities industry....
Russian Promoters, Offshore Crypto Bank Targeted in Orders
Texas Securities Commissioner Travis J. Iles took emergency action Sept. 18 to stop the fraudulent offerings of investments in three separate schemes involving cryptocurrencies.
Commissioner Iles entered separate emergency cease and desist orders against Coins Miner Investment Ltd. , a...
South Texas Investment Promoter Gets 25-Year Sentence for Multi-Million-Dollar Fraud
Gabriel Claudio Jr., who stole millions of dollars from clients of his illegitimate financial services firm in Corpus Christi, was sentenced to 25 years in state prison on Aug. 7 and ordered to pay $2,795,254 in restitution to investors.
Claudio was sentenced in the 79th District Court...
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.
