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

Tex. Government Code § 4004.101: REGISTRATION OF AGENTS.

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Where this section sits in the code
  1. GOVERNMENT CODE
  2. TITLE 12. SECURITIES ACT
  3. CHAPTER 4004. REGULATION OF DEALERS, INVESTMENT ADVISERS, DEALERS' AGENTS, AND INVESTMENT ADVISER REPRESENTATIVES
  4. SUBCHAPTER C. REGISTRATION OF AGENTS AND INVESTMENT ADVISER REPRESENTATIVES

(a) An agent may not, on behalf of a registered dealer, sell, offer for sale, or make a sale of any securities in this state unless the agent is registered as an agent for that particular registered dealer under this chapter.

(b) On written application by a registered dealer, and on satisfactory compliance with the requirements of this title, the commissioner shall register a person as an agent of the registered dealer.

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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