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Texas Administrative Code

TITLE 7 BANKING AND SECURITIES
PART 7 STATE SECURITIES BOARD
CHAPTER 115 SECURITIES DEALERS AND AGENTS

Rules

§115.1 General Provisions
§115.2 Application Requirements
§115.3 Examination
§115.4 Evidences of Registration
§115.5 Minimum Records
§115.6 Registration of Persons with Criminal Backgrounds
§115.7 Maintenance and Inspection of Records
§115.8 Fee Requirements
§115.9 Post-Registration Reporting Requirements
§115.10 Supervisory Requirements
§115.11 Finder Registration and Activities
§115.16 Use of Senior-Specific Certifications and Professional Designations
§115.18 Special Provisions Relating to Military Applicants
§115.19 Texas Crowdfunding Portal Registration and Activities
§115.20 Texas Crowdfunding Portal Registration and Activities of Small Business Development Entities
§115.21 System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Section 45

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