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

Tex. Government Code § 4007.202: UNAUTHORIZED RENDERING OF SERVICES AS INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE; OFFENSE.

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Where this section sits in the code
  1. GOVERNMENT CODE
  2. TITLE 12. SECURITIES ACT
  3. CHAPTER 4007. ENFORCEMENT
  4. SUBCHAPTER E. CRIMINAL PROVISIONS

(a) A person commits an offense if the person:

(1) renders services as an investment adviser or investment adviser representative; and

(2) is not registered as an investment adviser or investment adviser representative as required by this title.

(b) An offense under this section is a felony of the third degree.

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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