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TITLE 7BANKING AND SECURITIES
PART 7STATE SECURITIES BOARD
CHAPTER 116INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
RULE §116.10Supervisory Requirements

Each registered investment adviser shall establish, maintain, and enforce a system to supervise the activities of its investment adviser representatives that is reasonably designed to achieve compliance with the Texas Securities Act, Board rules, and all applicable securities laws and regulations. Supervisory systems must be written and available for inspection in either print or electronic format.


Source Note: The provisions of this §116.10 adopted to be effective August 12, 2001, 26 TexReg 5799; amended to be effective November 26, 2001, 26 TexReg 9582; amended to be effective July 14, 2005, 30 TexReg 3989; amended to be effective August 16, 2010, 35 TexReg 7050

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