Sections
Subchapter A General Provisions 4004.001 – 4004.003
Subchapter B Registration of Dealers and Investment Advisers 4004.051 – 4004.058
Subchapter C Registration of Agents and Investment Adviser Representatives 4004.101 – 4004.106
Subchapter D Examination Requirements 4004.151 – 4004.152
Subchapter E Denial or Revocation of Registration 4004.201 – 4004.202
Subchapter F Expiration and Renewal of Registration 4004.251 – 4004.257
Subchapter G Notice Filings of Federal Covered Investment Advisers and Certain Representatives of Federal Covered Investment Advisers 4004.301 – 4004.304
Subchapter H Requirements for Protection of Vulnerable Adults From Financial Exploitation 4004.351 – 4004.357
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Terms Used In Texas Government Code Chapter 4004 - Regulation of Dealers, Investment Advisers, Dealers' Agents, and Investment Adviser Representatives

  • Amortization: Paying off a loan by regular installments.
  • Asset forfeiture: A procedure by which a person's property is seized to pay judgments levied by the court.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Court reporter: A person who makes a word-for-word record of what is said in court and produces a transcript of the proceedings upon request.
  • Extradition: The formal process of delivering an accused or convicted person from authorities in one state to authorities in another state.