Chapter 116 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- Section 116.1 - General Provisions
- Section 116.2 - Application Requirements
- Section 116.3 - Examination
- Section 116.4 - Evidences of Registration
- Section 116.5 - Minimum Records
- Section 116.6 - Registration of Persons with Criminal Backgrounds
- Section 116.7 - Maintenance and Inspection of Records
- Section 116.8 - Fee Requirements
- Section 116.9 - Post-Registration Reporting Requirements
- Section 116.10 - Supervisory Requirements
- Section 116.11 - Disclosure Requirement/Brochure Rule
- Section 116.12 - Advisory Contract Requirements
- Section 116.13 - Advisory Fee Requirements
- Section 116.14 - Prevention of Misuse of Nonpublic Information
- Section 116.15 - Advertising Restrictions
- Section 116.16 - Use of Senior-Specific Certifications and Professional Designations
- Section 116.17 - Custody of Funds or Securities of Clients by Registered Investment Advisers
- Section 116.18 - Special Provisions Relating to Military Applicants
- Section 116.21 - System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Section 45
- Section 116.22 - Electronic Submission of Forms and Fees
- Section 116.23 - Notice of Cybersecurity Incident