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.
Invest Wisely and Avoid Fraud.
Here's How.
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
Texas, Kentucky Enter Orders to Stop Unregistered Oil and Gas Offerings
Texas and Kentucky securities regulators entered emergency orders on Sept. 16 to stop the offering of unregistered investments in an oil-drilling program in Southern Illinois that promises to produce oil wells with a minimum return of 100% within two years and monthly income for 20 years....
State Securities Regulators Release Annual Enforcement Report
The North American Securities Administrators Association (NASAA) on Sept. 10 released its annual enforcement report, which shows state securities regulators were responsible for more than $1 billion in monetary relief ordered as a result of state enforcement actions in 2018.
In its 2019...
Unregistered Agent Agrees to Cooperate in Investigation of Oil Investment
Jeremy “JB” Yowell , an unregistered investment promoter for Fort Worth-based Woodland Resources LLC , is cooperating with the Enforcement Division of the State Securities Board in its investigation of the company and its director of operations, longtime oilman Michael E. Patman .
...
Metals.com to Offer Full Refunds to Texas Investors in Deal Likely to Exceed $10 Million
Metals.com , a firm accused of convincing older Texans to liquidate securities held with registered investment firms and use the proceeds to buy precious metals, has agreed to offer a full refund to 84 Texas investors.
The amount of refunds will be made public once all investors have...
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.
