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7 Tex. Admin. Code, Chapter 116 – Investment Advisers and Investment Adviser Representatives | Midpage
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Texas Administrative Code
Title 7
Part 7
Chapter 116
7 Tex. Admin. Code, Chapter 116
Investment Advisers and Investment Adviser Representatives
Texas Secretary of State
116.1
General Provisions
116.2
Application Requirements
116.3
Examination
116.4
Evidences of Registration
116.5
Minimum Records
116.6
Registration of Persons with Criminal Backgrounds
116.7
Maintenance and Inspection of Records
116.8
Fee Requirements
116.9
Post-Registration Reporting Requirements
116.10
Supervisory Requirements
116.11
Disclosure Requirement/Brochure Rule
116.12
Advisory Contract Requirements
116.13
Advisory Fee Requirements
116.14
Prevention of Misuse of Nonpublic Information
116.15
Adoption by Reference of Investment Adviser Marketing Rules
116.16
Use of Senior-Specific Certifications and Professional Designations
116.17
Custody of Funds or Securities of Clients by Registered Investment Advisers
116.18
Special Provisions Relating to Military Applicants
116.21
System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Chapter 4004, Subchapter H
116.22
Electronic Submission of Forms and Fees
116.23
Notice of Cybersecurity Incident