For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
Learn the CORE FOUR
Learning about investing starts with the CORE FOUR: Making Investments, Investing for Retirement, Choosing a Financial Professional, and Scams & Unsuitable Investments. All are available in Spanish.
Order the 2020 Texas Investor Guide
Order the 10th anniversary edition of the Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud. For free copies, provide a mailing address to firstname.lastname@example.org. The Investor Guide is also in Spanish.
The Latest News & Publications
Securities Commissioner Warns Mongolian Victims of Advance Fee And Imposter Scheme
The Texas State Securities Board is warning against an advance fee fraud and imposter scheme perpetrated by parties pretending to be the Texas State Securities Board. The scam is targeting victims of cryptocurrency fraud residing in Mongolia, falsely claiming the...
Texas Securities Board Joins $22.5 Million State Settlement with Nexo Capital over Unregistered Digital Assets Investment Accounts
The Texas State Securities Board joined other state securities regulators and the U.S. Securities Exchange Commission (SEC) in jointly announcing a settlement in principle with Nexo Capital, Inc. (Nexo). The settlement requires Nexo to pay a total of approximately $22.5...
Securities Commissioner Stops Convicted Felon from Defrauding Texans
Securities Commissioner Travis J. Iles filed an emergency cease and desist order that accused Adrian Lamont Gunn, a resident of Lubbock, from perpetrating an illegal securities scheme. According to the order, Gunn is a convicted white-collar criminal. Before perpetrating his...
AUSTIN REAL ESTATE SCAMMER SENTENCED TO 40 YEARS IN PRISON
Securities Commissioner Travis J. Iles announced that Tommie “Tom” Carter Jr, a 64-year-old resident of Austin, Texas, was convicted of first-degree securities fraud and sentenced to serve 40 years in prison. He was also ordered to pay restitution of...
About the Texas Securities Board
The State Securities Board is responsible for administering and enforcing the Texas Securities Act. 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.
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