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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.
The Texas Stock Exchange (TXSE) is a planned national stock exchange to be headquartered in Downtown Dallas, Texas, United States.The group behind the exchange, led by TXSE CEO James Lee, is financed by institutional investors including BlackRock and Citadel Securities, with investments totaling approximately $135 million as of September 2024.
As a result of his fraudulent activity, Mr. Jawahar's fund, Swiftarc Capital, LLC, had its investment adviser registration revoked by the Texas Securities Commissioner. [ 7 ] In direct violation of the Texas State Securities Board's order to cease and desist from engaging in fraud, Mr. Jawahar solicited a $1 million investment from an investor ...
The Texas State Securities Board (SSB) issued a total of 16 orders against suspected cryptocurrency scam investments in 2018, the regulator revealed in its 2018 Enforcement Report published on Feb. 7.
As Paxton was running for his first term as attorney general, the Texas State Securities Board in May 2014 reprimanded Paxton and assessed him a $1,000 administrative fine for failing to register ...
Texas State Securities Board; Texas State Soil and Water Conservation Board; Texas State Technical College System; Texas State University System;
The director of enforcement for the Texas State Securities Board has announced that state regulators are investigating multiple celebrity endorsers tied to the FTX trading platform.
It was created by the National Conference of Commissioners on Uniform State Laws (NCCUSL). The purpose of the Uniform Securities Act is to provide model legislation that can be adopted by a state to deal with securities fraud at the state level, supplementing enforcement and regulation efforts of the U.S. Securities and Exchange Commission (SEC ...