Texas · Through 89th 2nd Called Legislative Session, 2025

Tex. Government Code § 4004.052: REGISTRATION OF INVESTMENT ADVISERS REQUIRED.

Where this section sits in the code

GOVERNMENT CODE
TITLE 12. SECURITIES ACT
CHAPTER 4004. REGULATION OF DEALERS, INVESTMENT ADVISERS, DEALERS' AGENTS, AND INVESTMENT ADVISER REPRESENTATIVES
SUBCHAPTER B. REGISTRATION OF DEALERS AND INVESTMENT ADVISERS

Except as provided by Subchapter A, Chapter 4005, a person may not, directly or through the person's investment adviser representative, render services as an investment adviser in this state unless the person:

(1) is registered under this chapter;

(2) submits a notice filing as provided by Subchapter G; or

(3) is otherwise exempt under this title.

Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.

Collected 2026-08-27T01:47:16Z. Source file · JSON

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