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7 Tex. Admin. Code, Chapter 115 – Securities Dealers and Agents | Midpage
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Texas Administrative Code
Title 7
Part 7
Chapter 115
7 Tex. Admin. Code, Chapter 115
Securities Dealers and Agents
Texas Secretary of State
115.1
General Provisions
115.2
Application Requirements
115.3
Examination
115.4
Evidences of Registration
115.5
Minimum Records
115.6
Registration of Persons with Criminal Backgrounds
115.7
Maintenance and Inspection of Records
115.8
Fee Requirements
115.9
Post-Registration Reporting Requirements
115.10
Supervisory Requirements
115.11
Finder Registration and Activities
115.16
Use of Senior-Specific Certifications and Professional Designations
115.18
Special Provisions Relating to Military Applicants
115.19
Texas Crowdfunding Portal Registration and Activities
115.20
Texas Crowdfunding Portal Registration and Activities of Small Business Development Entities
115.21
System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Chapter 4004, Subchapter H
115.22
Electronic Submission of Forms and Fees
115.23
Notice of Cybersecurity Incident
115.24
Adoption by Reference of Conduct Rules