Selection of the best texas state security board

Selection of the best texas state security board

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An attorney who represents you or your company in an administrative securities enforcement case will only be successful if he or she is also a securities regulatory lawyer who is familiar with the securities laws and regulations of the SEC, FINRA, and the Texas State Securities Board. A general administrative lawyer who defends all classes of Texas licensees (nurses, healthcare practitioners, barbers, cosmetologists, locksmiths, manicurists, and others) is unlikely to practice securities and financial services law on a daily basis. Knowing the Texas State Office of Administrative Hearings’ and court processes, such as administrative appeals to the Travis County District Court, is just one element of successful administrative representation. Deep knowledge and understanding of the substantive law that regulates the particular license or field of control, such as securities laws, is another factor that is even more relevant. Both securities (as well as financial services regulation) enforcement and administrative protection are practiced by LOAA.

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The agency, which was founded in 1957, registers companies and individuals who sell financial securities or provide investment advice. The Securities and Exchange Commission also conducts examinations of registered companies and prosecutes violations of the Securities Act by regulatory, civil, and criminal proceedings.
Enforcement, Registration, Inspections and Enforcement, General Counsel, and Staff Services are the five internal divisions of the Texas State Securities Board. It has branches in Dallas, Houston, Lubbock, and Corpus Christi, as well as a main office at 208 E. 10th Street in Austin.
The organization is governed by a board of five members who are named by the governor for six-year overlapping terms with the Senate’s advice and consent. Members of the board are not paid, but they are entitled to per diem and reimbursement for real travel expenses incurred while performing their official duties.
The State Securities Board has been a net donor to the state’s General Revenue Fund every year since its inception. The Agency’s budget for FY 2017 was approximately $7.1 million, and its activities deposited approximately $157 million into the General Revenue Fund, mainly from fees for investment and financial advisory company registration and filing.

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This article relies on a single source for the majority of its information. On the talk page, you can find relevant discussion. Please contribute to the improvement of this article by adding citations to additional sources. Locate sources: “Texas State Securities Board” – JSTOR – news, media, books, and scholars (March 2020)
The Texas Securities Act (TEX. REV. CIV. STAT. ANN. art. 581-1) is enforced by the Board, which also conducts systems for securities registration, securities dealer registration, investment advisor registration, and agent registration, as well as inspections of registered firms.
The Board has also created and introduced an investor education initiative to educate the public about the fundamentals of investing in securities, with a focus on securities fraud prevention and detection. Austin, Dallas, Houston, Lubbock, Corpus Christi, and San Antonio are among the agency’s locations.
The Texas State Securities Board issued a cease-and-desist order in January 2018 to BitConnect, a British business that promises big monthly returns but has yet to file with state securities regulators or cite an office address.
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“The staff of the Texas State Securities Board (the “Agency”) has prepared this brochure to include a brief introduction to the Agency and how it operates, as well as specific advice to investors about how to defend themselves from fraud” (Mission of Texas State Securities Board page).
“The staff of the Texas State Securities Board (the “Agency”) has prepared this brochure to include a brief introduction to the Agency and how it operates, as well as specific advice to investors about how to defend themselves from fraud” (Mission of Texas State Securities Board page).
Agency annual reports, legislative publications, statistical reports, and other state government reports and periodicals are among the materials provided by the State of Texas.

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