For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
Investing: Less Pain, More GainA baker's dozen articles on mutual funds, keys to retirement saving, the investing principles every investor should know – and a whole lot more.
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2017 Texas Investor Guide
The Latest News & Publications
Nearly $341,000 in restitution has been paid to investors in a company whose fraud stretched from Southeast Asia to southeast Texas to West Africa.
Alan Derek Jernigan , who sold investments in deals that would purportedly export medical test kits to the Philippines and Malaysia, was...
Texas Securities Commissioner John Morgan entered an Emergency Cease and Desist Order on May 5 alleging that two investment promoters who are soliciting funds for a stock scheme are falsely claiming to be an existing investment advisory firm in Dallas.
According to the order, Raymond...
Dback Capital Inc . of Dallas and its president, Kenneth Edward Shelton , agreed to stop violating the law by selling stock in two companies to Texas residents.
Texas Securities Commissioner John Morgan entered the Agreed and Cease Desist Order on May 22.
Neither Dback Capital...
One-time entertainment promoter David Elliott Rosen of Austin was sentenced to 10 years to prison on May 4 for for a nearly $2 million fraud based on the sale of investments in his concert-promotion business.
Rosen pleaded guilty to securities fraud in Travis County State District Court...
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.