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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.
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The Latest News & Publications
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.
An immigrant visa program designed to attract foreign investment in U.S. businesses has also attracted scammers targeting immigrant investors.
At issue is the federal immigrant visa known as the Employment-Based, Fifth Preference (EB-5) visa. Foreign investors who meet certain...
Enticed by the promise of quick profits, investors in and around the small South Texas town of Alice sunk at least $5 million into Michael Anthony Collins’ stock-trading operation only to see their money stolen outright or used to fund a Ponzi scheme.
Collins pleaded guilty to charges of...
Texas Securities Commissioner John Morgan entered an Emergency Cease and Desist Order on Aug. 15 that requires Bobby Eugene Guess, an unregistered investment promoter, to stop engaging in fraud in marketing promissory notes tied to a wide array of businesses.
The emergency order cites...
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.