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The Texas State Securities Board is a Texas state agency headquartered in Austin, Texas.. The board enforces the Texas Securities Act (TEX. REV. CIV. STAT. ANN. art. 581–1) and maintains programs for enforcement, registration of securities, registration of securities dealers, investment advisers, and agents, and inspections of registered firms.
Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state blue sky securities laws in place. It was originally enforced by the FTC, until the SEC was created by the Securities Exchange Act of 1934. [2]
The Code was originally created by legislation in 1977 with the passage of Administrative Code Act. [1] In 1995, H.B. 2304 was enacted, which required that the Secretary of State make the Administrative Code available online free of charge. [1] [2] As of 2020, there are 17 titles in the Code, [3] listed below. Title 1: Administration
State governments are the primary regulators of annuities. Not all financial products are created — or regulated — equally. Stocks and mutual funds fall under federal securities laws, while ...
The Uniform Securities Agent State Law Exam is written by NASAA and administered by FINRA. Representative of the nature of its activities are its frequent warnings regarding investment fraud , [ 1 ] its focus on the tax advantages of college plans, [ 2 ] and its involvement in naked short selling litigation aimed at the Depository Trust and ...
The state security laws are often known as blue sky laws. The Act was first promulgated in 1930, when it was entitled the Uniform Sales of Securities Act of 1930. [1] The 1930 Act met with limited success, enacted by only five jurisdictions. [2] In 1943, the NCCUSL dropped the Act from its list of Uniform Acts. [3] The Act was substantially ...
Texas Securities Commissioner Travis J. Iles has issued emergency ordinances against three separate fraudulent cryptocurrency schemes linked to Russian scammers.The orders were issued on September ...
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