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 email@example.com and provide a mailing address. Also available: A Salute to Smart Investing, for active members of the military.
The Latest News & Publications
The State Securities Board assisted in the prosecution of investment fraud cases in 2016 that resulted in prison sentences totaling 82 years and $17.9 million in orders of restitution for investors.
In addition, investigations resulted in the indictment of 13 individuals in nine Texas...
Bobby Eugene Guess, who promoted himself as a financial maven through radio advertising and investment seminars in the Dallas-Fort Worth area, was arrested Dec. 19 following his indictment on charges related to the multi-million-dollar sale of investments in an Internet advertising company....
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...
The following are summaries of administrative actions and orders taken from Oct. 1 through Dec. 30, 2016.Bruce Russell Clark: Reprimand, Fine
Texas Securities Commissioner John Morgan entered a Disciplinary Order Dec. 30 that levied a $5,000 fine and reprimanded Bruce Russell Clark of...
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.