Tex. Gov't Code § 4004.052 · Subchapter B. REGISTRATION OF DEALERS AND INVESTMENT ADVISERS
REGISTRATION OF INVESTMENT ADVISERS REQUIRED.
Text — Current through the 89th 2nd Called Legislative Session, 2025
Except as provided by Subchapter A, Chapter 4005, a person may not, directly or through the person's investment adviser representative, render services as an investment adviser in this state unless the person:
(1) is registered under this chapter;
(2) submits a notice filing as provided by Subchapter G; or
(3) is otherwise exempt under this title.
Notes and commentary — not statutory text
History
Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.
Source of truth
- Edition
- Current through the 89th 2nd Called Legislative Session, 2025
- Official file
- https://statutes.capitol.texas.gov/Docs/GV/htm/GV.4004.htm
- Text hash
- sha256 c2e3e0e62b859a777a41aa67e574293170c9d43e94bd2b2ef4f66f71b83f6be3
- Composed by
- compose_tx.py 2026-10-05: the Legislative Council's chapter files read in document order; verify_tx.py's independent reading (lxml DOM walk) agrees character for character
This section cites
Provisions in this library that the text above cites, as it prints each citation. A range cited as “ss. 61.13-61.16” links its first and last provisions.
Cited by 3 provisions
Provisions in this library whose text cites Tex. Gov't Code § 4004.052. Each shows the citation as that text prints it.
Government Code
- Tex. Gov't Code § 1371.154FINANCIAL ADVISER OR INVESTMENT ADVISER QUALIFICATIONS AND REQUIREMENTS FOR CERTAIN AGREEMENTS AND TRANSACTIONS.Printed as Section 4004.051, 4004.052, or 4004.302
- Tex. Gov't Code § 4008.051OFFEROR OR SELLER LIABILITY: REGISTRATION AND RELATED VIOLATIONS.Printed as Section 4003.001(a), 4004.051, 4004.052, 4004.101(a), 4004.102(a), or 4007.103
- Tex. Gov't Code § 4008.101INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE LIABILITY.Printed as Section 4004.052 or 4004.102(a)
Procedural information only. Not legal advice and not a substitute for the advice of an attorney. Confirm the current text with the official publisher before relying on it.