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TITLE 7 | BANKING AND SECURITIES |
PART 7 | STATE SECURITIES BOARD |
CHAPTER 106 | GUIDELINES FOR THE ASSESSMENT OF ADMINISTRATIVE FINES |
RULE §106.1 | Guidelines for the Assessment of Administrative Fines |
For the purpose of determining the amount of an administrative fine assessed against a person or company under The Securities Act, §4007.106, the Securities Commissioner shall consider the following factors: |
Source Note: The provisions of this §106.1 adopted to be effective September 22, 1995, 20 TexReg 7187; amended to be effective April 7, 2024, 49 TexReg 2061 |