For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
Featured PublicationsPrint and online education for young people, the military, retirees, teachers, and more.
2016 Texas Investor Guide:
To obtain print copies of the 2016 Texas Investor Guide, send a mailing address, phone number, and the number of copies you would like to receive to Robert Elder, Communications & Investor Education Coordinator, at firstname.lastname@example.org.
Newly Revised and Expanded
The Latest News & Publications
The State Securities Board’s newest version of the Texas Investor Guide has landed, bigger and better than ever.
The 2016 edition of the Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud , has been substantially revised and expanded to help investors –...
Texas Securities Commissioner John Morgan on Feb. 1 entered an Emergency Cease and Desist Order against a firm selling investments that supposedly earn returns from the payout of pension benefits it acquires from federal government employees, members of the military, and certain corporations....
Texas Securities Commissioner John Morgan has entered Disciplinary Orders against two investment advisers for selling securities and collecting commissions without being registered as dealers.
Marvin M. Slater of Dallas was suspended for 90 days for the sale of promissory notes that he...
State securities regulators said Thursday that victims of investment fraud should be extremely careful when approached by companies -- known as third-party asset recovery firms -- promising to help them recover their money or bring the perpetrator to justice.
A third-party asset recovery...
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.