For Professionals & the Industry
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.
2016 Texas Investor Guide:
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The Latest News & Publications
If you are receiving regular payments from your pension, keep an eye out for sales pitches that ask you to trade the stability of those payments for the opportunity to make a quick buck.
The come-on will probably be as subtle as a used-car ad: Are you earning a pension from your former...
Texas Securities Commissioner John Morgan on March 30 entered an Emergency Cease and Desist Order requiring David Del Castillo of Austin to stop offering for sale investments in a foreign exchange trading operation.
Del Castillo promoted his supposed expertise in forex trading –...
Derek A. Nelson ’s Garland-based real-estate investment program promised huge profits, with little risk, from the business of buying and renovating distressed properties.
Distress, yes: Investors poured approximately $37 million into the promissory notes Nelson sold to purportedly fund...
Texas Securities Commissioner John Morgan on March 23 entered a Disciplinary Order that will revoke the registration of Sarah Helen Hancock , a Dallas investment adviser representative who withdrew grossly excessive amounts of money from clients’ accounts. Hancock provided at least one client...
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.