The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the formation of capital and the creation of new jobs in Texas.
What We Do
The State Securities Board is responsible for regulating the securities industry in Texas. We register securities offered or sold in Texas and oversee the firms and individuals selling securities or providing investment advice to Texans. Through our Investor Education initiative, we help our fellow Texans become informed investors.
- IMPORTANT NOTICES
- Texas Intrastate Crowdfunding Rules
- Frequently Asked Questions- Private Fund Adviser Rules
- AVOIDING COMMON DEFICIENCIES FOUND IN INVESTMENT ADVISER APPLICATIONS
- July 28, 2015 - TD AMERITRADE FINED $300,000 FOR VIOLATIONS RELATED TO NOTIFICATION TO CUSTOMERS
- July 22, 2015 - SALESMEN WITH HISTORY OF SANCTIONS HIT WITH EMERGENCY ORDER OVER LOAN SCHEME
- June 25, 2015 - EMERGENCY ORDER ENTERED AGAINST SAN ANTONIO OIL AND GAS PROMOTER
- Auction Rate Securities:
A list of agreements and settlements.