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Texas Administrative Code
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Title 7 Banking and Securities
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Part 7 State Securities Board
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Chapter 116 Investment Advisers and Investment Adviser Representatives
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Rule 116.1 General Provisions
Rule 116.2 Application Requirements
Rule 116.3 Examination
Rule 116.4 Evidences of Registration
Rule 116.5 Minimum Records
Rule 116.6 Registration of Persons with Criminal Backgrounds
Rule 116.7 Maintenance and Inspection of Records
Rule 116.8 Fee Requirements
Rule 116.9 Post-registration Reporting Requirements
Rule 116.10 Supervisory Requirements
Rule 116.11 Disclosure Requirement/brochure Rule
Rule 116.12 Advisory Contract Requirements
Rule 116.13 Advisory Fee Requirements
Rule 116.14 Prevention of Misuse of Nonpublic Information
Rule 116.15 Advertising Restrictions
Rule 116.16 Use of Senior-specific Certifications and Professional Designations
Rule 116.17 Custody of Funds Or Securities of Clients by Registered Investment Advisers
Rule 116.18 Special Provisions Relating to Military Applicants
Rule 116.21 System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Section 45
Rule 116.22 Electronic Submission of Forms and Fees
Rule 116.23 Notice of Cybersecurity Incident
