SUBCHAPTER

CRIMINAL PROVISIONS

Tex. Gov't Code § 4007.201— UNAUTHORIZED SALE OF SECURITIES; OFFENSE
Tex. Gov't Code § 4007.202— UNAUTHORIZED RENDERING OF SERVICES AS INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE; OFFENSE
Tex. Gov't Code § 4007.203— FRAUDULENT CONDUCT; OFFENSE
Tex. Gov't Code § 4007.204— MATERIALLY FALSE STATEMENT IN DOCUMENT OR PROCEEDING; OFFENSE
Tex. Gov't Code § 4007.205— FALSE STATEMENT OR REPRESENTATION CONCERNING REGISTRATION; OFFENSE
Tex. Gov't Code § 4007.206— VIOLATION OF CEASE AND DESIST ORDER; OFFENSE
Tex. Gov't Code § 4007.207— NONCOMPLIANT OFFER OR OFFER PROHIBITED BY CEASE PUBLICATION ORDER; OFFENSE
Tex. Gov't Code § 4007.208— AGGREGATION OF AMOUNTS
Tex. Gov't Code § 4007.209— LIABILITY OF CORPORATION