UNAUTHORIZED RENDERING OF SERVICES AS INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE; OFFENSE
Known as the The Securities Act
The act spans §§ 4001.001 to 4008.105 (251 sections).
Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff
(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.
Official source: Texas Constitution and Statutes. Reproduced from public-domain Texas statutes; confirm against the official source for the current text. Not legal advice.