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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 115. Securities Dealers and Agents
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Rule 115.1. General Provisions
Rule 115.2. Application Requirements
Rule 115.3. Examination
Rule 115.4. Evidences of Registration
Rule 115.5. Minimum Records
Rule 115.6. Registration of Persons with Criminal Backgrounds
Rule 115.7. Maintenance and Inspection of Records
Rule 115.8. Fee Requirements
Rule 115.9. Post-registration Reporting Requirements
Rule 115.10. Supervisory Requirements
Rule 115.11. Finder Registration and Activities
Rule 115.16. Use of Senior-specific Certifications and Professional Designations
Rule 115.18. Special Provisions Relating to Military Applicants
Rule 115.19. Texas Crowdfunding Portal Registration and Activities
Rule 115.20. Texas Crowdfunding Portal Registration and Activities of Small Business Development Entities
Rule 115.21. System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to The Texas Securities Act, Section 45
Rule 115.22. Electronic Submission of Forms and Fees
Rule 115.23. Notice of Cybersecurity Incident