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

Tex. Government Code § 4004.057: AMENDMENT 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

(a) A dealer or investment adviser shall immediately certify under oath to the commissioner any change in the personnel of a partnership or in the principals, officers, directors, or managing agents of the dealer or investment adviser.

(b) A change in the registration certificate required as the result of a change described by Subsection (a) may be made at any time by submitting to the commissioner a written application that specifies the reason for the change.

(c) On the issuance of an amended registration certificate, the dealer or investment adviser shall promptly surrender the original certificate and any outstanding certified copies of the original certificate to the commissioner.

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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