§ 116.10

7 Tex. Admin. Code § 116.10

Supervisory Requirements

Effective Aug 12, 200126 TexReg 5799Source Note: The provisions of this §116.10 adopted to be effective August 12, 2001, 26 TexReg 5799.Texas Secretary of State

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Each investment adviser shall establish and maintain a system to supervise the activities of its investment adviser representatives that is reasonably designed to achieve compliance with the Texas Securities Act and Board rules.

Source Note:The provisions of this §116.10 adopted to be effective August 12, 2001, 26 TexReg 5799.