Texas Government Code 4004.052 – Registration of Investment Advisers Required
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Terms Used In Texas Government Code 4004.052
- Person: includes corporation, organization, government or governmental subdivision or agency, business trust, estate, trust, partnership, association, and any other legal entity. See Texas Government Code 311.005
Except as provided by Subchapter A, Chapter 4005, a person may not, directly or through the person’s investment adviser representative, render services as an investment adviser in this state unless the person:
(1) is registered under this chapter;
(2) submits a notice filing as provided by Subchapter G; or
(3) is otherwise exempt under this title.