| §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 |
| §116.22 |
Electronic Submission of Forms and Fees |
| §116.23 |
Notice of Cybersecurity Incident |
