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Texas Administrative Code

TITLE 7 BANKING AND SECURITIES
PART 7 STATE SECURITIES BOARD
CHAPTER 116 INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES

Rules

§116.1 General Provisions
§116.2 Application Requirements
§116.3 Examination
§116.4 Evidences of Registration
§116.5 Minimum Records
§116.6 Registration of Persons with Criminal Backgrounds
§116.7 Maintenance and Inspection of Records
§116.8 Fee Requirements
§116.9 Post-Registration Reporting Requirements
§116.10 Supervisory Requirements
§116.11 Disclosure Requirement/Brochure Rule
§116.12 Advisory Contract Requirements
§116.13 Advisory Fee Requirements
§116.14 Prevention of Misuse of Nonpublic Information
§116.15 Advertising Restrictions
§116.16 Use of Senior-Specific Certifications and Professional Designations
§116.17 Custody of Funds or Securities of Clients by Registered Investment Advisers
§116.18 Special Provisions Relating to Military Applicants
§116.21 System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Section 45

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