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

Tex. Government Code § 4004.102: REGISTRATION OF INVESTMENT ADVISER REPRESENTATIVES.

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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) A person may not act or render services as an investment adviser representative for an investment adviser in this state unless the person is registered or submits a notice filing as an investment adviser representative for that particular investment adviser as provided by this subchapter and Subchapter G.

(b) On written application by an investment adviser and on satisfactory compliance with the requirements of this title, the commissioner shall register a person as an investment adviser representative of that investment adviser.

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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