For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
For Investors
Learn the CORE FOUR
Learning about investing starts with the CORE FOUR: Making Investments, Investing for Retirement, Choosing a Financial Professional, and Scams & Unsuitable Investments. All are available in Spanish.
Order the 2019 Texas Investor Guide
The Texas Investor Guide is fresh, factual, and fully updated for 2019 with information to help investors at all stages of life learn to invest wisely and avoid financial fraud. For free copies, provide a mailing address to relder@ssb.texas.gov. The Investor Guide is available in Spanish.
The Latest News & Publications
Dallas Investment Promoter 'Doc' Gallagher Arrested In Alleged $19M Fraud
William Neil “Doc” Gallagher , who promotes his investment business on Christian radio and in books like “Jesus Christ, Money Master,” has been arrested to face first-degree state felony charges of securities fraud and money laundering in Dallas County.
In a related action, the U.S....
Medical Device Promoter Ordered to Stop Investment Offering
Texas Securities Commissioner Travis J. Iles took emergency action on March 7 to stop Randall Johnson , the president of a Georgetown wellness company, from fraudulently offering investments in a machine that Johnson claims to be “the most advanced early screening system” for primary care...
Commissioner Fines Crypto-Investing Firms, Obtains Repayment for Investors
Utah-based firms that illegally sold unregistered cryptocurrency-mining investments paid a $25,000 fine to the State of Texas and will offer Texas residents full repayment of any money they invested.
Under the terms of a Feb. 21 Order , NUI Social LLC, Mintage Mining LLC, and related...
Following State Criminal Cases, SEC Sues N. Texas Trio in $44 Million Fraud
The Securities and Exchange Commission has sued three individuals for operating a complex web of real estate development companies in North Texas that defrauded investors of at least $44 million.
The SEC civil action , filed in U.S. District Court in Dallas on Jan. 25, follows criminal...
About the Texas Securities Board
Our Mission
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.
