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

Tex. Government Code § 4004.055: FORM AND CONTENTS OF REGISTRATION CERTIFICATE.

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

The registration certificate must be in the form the commissioner prescribes and must state:

(1) the principal place of business and address of the dealer or investment adviser;

(2) the name and business address of each person interested in the business as a principal, officer, director, or managing agent of the dealer or investment adviser; and

(3) that the dealer or investment adviser has been registered for a current calendar year as a dealer in securities or as an investment adviser, as appropriate.

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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