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
The Texas State Securities Board on Nov. 14 approved the appointment of Clinton Edgar as Deputy Securities Commissioner.
Edgar joined the State Securities Board in 2010. He has served as a staff attorney in the Inspections and Compliance Division and in 2016 he became the Director of the...
Lawrence Allen DeShetler , an investment adviser in The Woodlands, convinced five clients – two of whom were in their 80s – to cash out legitimate investments and transfer the money to him so he could get them higher returns.
DeShetler instead deposited the money into bank accounts...
Texas Securities Commissioner Travis J. Iles on Oct. 23 entered a Disciplinary Order that suspended investment adviser John Michael McDonough for 90 days and fined 212 Advisory Group LLC $15,000 for violating a previous agreement regarding securities regulations.
U.S. District Judge Lee Yeakel on Oct. 2 ordered Austin attorney Robert Allen Helms and his business partner, Janniece S. Kaelin , to pay $29 million in restitution to investors in the pair's oil-and-gas royalties scam.
Yeakel previously sentenced Helms and Kaelin to 78 months in federal...
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.