Tex. Gov't Code § 4004.102 · Subchapter C. REGISTRATION OF AGENTS AND INVESTMENT ADVISER REPRESENTATIVES
REGISTRATION OF INVESTMENT ADVISER REPRESENTATIVES.
Text — Current through the 89th 2nd Called Legislative Session, 2025
(a) A person may not act or render services as an investment adviser representative for an investment adviser in this state unless the person is registered or submits a notice filing as an investment adviser representative for that particular investment adviser as provided by this subchapter and Subchapter G.
(b) On written application by an investment adviser and on satisfactory compliance with the requirements of this title, the commissioner shall register a person as an investment adviser representative of that investment adviser.
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 a4825394283a6fcf908bbf9d2ee5381bede4822c94e4963b0f270c0987f7b669
- 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
Cited by 3 provisions
Provisions in this library whose text cites Tex. Gov't Code § 4004.102. Each shows the citation as that text prints it.
Government Code
- Tex. Gov't Code § 4004.103APPLICATION FOR REGISTRATION.Printed as Sections 4004.101 and 4004.102
- 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.