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.
Texas Investor Guide en Español:
Para obtener copias impresas , enviar una dirección de correo, número de teléfono y el número de copias que desea recibir a Robert Elder, Coordinador de Comunicaciones y Educación del Inversor , firstname.lastname@example.org.
Ordenar su copia gratis hoy
The Latest News & Publications
Texas Securities Commissioner John Morgan entered a Disciplinary Order on Oct. 14 that suspended Jens Pinkernell , an investment adviser representative, for five years.
As part of the order, Pinkernell repaid $46,915 to two clients who were charged unauthorized and excessive fees by...
Old Security Financial Group Inc. of Spring was fined $100,000 for selling unregistered investments in a “mortgage note program” supposedly backed by commercial real estate.
The fine, which will be paid to the General Fund of the State of Texas, was assessed against Old Security, its...
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...
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.