7 Tex. Admin. Code, Part 7 – State Securities Board | Midpage

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Texas Administrative Code

Part 7

7 Tex. Admin. Code, Part 7

State Securities Board

Texas Secretary of State

101General Administration 102Complaint Process 103Rulemaking Procedure 104Procedure for Review of Applications 105Rules of Practice in Contested Cases 106Guidelines for the Assessment of Administrative Fines 107Terminology 109Transactions Exempt from Registration 111Securities Exempt from Registration 113Registration of Securities 114Federal Covered Securities 115Securities Dealers and Agents 116Investment Advisers and Investment Adviser Representatives 123Administrative Guidelines for Registration of Open-end Investment Companies 125Minimum Disclosures in Church and Nonprofit Institution Bond Issues 127Miscellaneous 131Guidelines for Confidentiality of Information 133Forms 135Industrial Development Corporations and Authorities 137Administrative Guidelines for Regulation of Offers 139Exemptions by Rule or Order