For Professionals & the Industry
Registration of Dealers & Investment Advisers
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 email@example.com. The Investor Guide is available in Spanish.
The Latest News & Publications
Texas Securities Commissioner Travis J. Iles on June 6 sanctioned two Dallas-area investment adviser representatives for selling unsuitable investments to clients.
The Commissioner suspended investment adviser representative Mark A. Trewitt for 90 days for selling unsuitable investments...
Investing for retirement usually means buying stocks, bonds, and mutual funds through a workplace retirement plan like a 401(k) or in your own Individual Retirement Account (IRA).
This news release has been updated to reflect the new hearing date.
The State Office of Administrative Hearings has scheduled a hearing for Aug. 28-29 in Austin on a precious metals company’s challenge to an Emergency Cease and Desist Order that accuses the company and its...
Texas Securities Commissioner Travis J. Iles entered an emergency action on May 1 against Metals.com, an unregistered firm accused of cold-calling elderly investors to convince them to liquidate their securities in registered firms and invest in precious metals.
According to the...
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.