Gavvy: Gov’t Code, Sec. 4004.202. Automatic Revocation of Registration of Agents and Investment Adviser Representatives After Revocation of Registration of Dealer Or Investment Adviser.

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Sec. 4004.202. Automatic Revocation of Registration of Agents and Investment Adviser Representatives After Revocation of Registration of Dealer Or Investment Adviser.

Sec. 4004.202. AUTOMATIC REVOCATION OF REGISTRATION OF AGENTS AND INVESTMENT ADVISER REPRESENTATIVES AFTER REVOCATION OF REGISTRATION OF DEALER OR INVESTMENT ADVISER. (a) The revocation of the registration of a dealer or an investment adviser under Section 4007.105 constitutes a revocation of the registration of any agent of the dealer or of any investment adviser representative of the investment adviser, as appropriate.

(b) The commissioner shall promptly send notice of the revocation of the registration of a dealer or of an investment adviser to each applicable agent or investment adviser representative.

(c) All evidences of registration that have been revoked shall be immediately surrendered to the commissioner on request.

Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.

Gavvy last updated this database on: Sep 6, 2024