For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
Featured PublicationsPrint and online education for young people, the military, retirees, teachers, and more.
Texas Investor GuideInvestors have more responsibility than ever for achieving their financial goals, but many don't feel equipped to make informed decisions. The Investor Guide offers time-tested strategies for investing wisely – and tactics for avoiding financial fraud.
The Latest News & Publications
Financial education publications for veterans and active military, and a guide to the leading resources for the military, highlight the Texas State Securities Board’s commitment to the nation’s armed forces on this Veterans Day.
Two publications – the Veterans Handbook: Tactics for...
Michael Anthony Collins of Alice was indicted Oct. 26 on charges of securities fraud, theft, and money laundering for allegedly stealing at least $5 million from investors who sunk money into his stock-trading operation.
The indictment alleges that from 2013 through mid-2015, Collins...
WFG Investments Inc. of Dallas was reprimanded and fined $175,000 for failing to determine whether the sales of alternative investments exposed clients to excessive risk.
The Disciplinary Order , entered Sept. 3 by Securities Commissioner John Morgan, found that WFG violated 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.