Texas Government Code 4004.055 – Form and Contents of Registration Certificate
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Terms Used In Texas Government Code 4004.055
- 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
- Year: means 12 consecutive months. See Texas Government Code 311.005
The registration certificate must be in the form the commissioner prescribes and must state:
(1) the principal place of business and address of the dealer or investment adviser;
(2) the name and business address of each person interested in the business as a principal, officer, director, or managing agent of the dealer or investment adviser; and
(3) that the dealer or investment adviser has been registered for a current calendar year as a dealer in securities or as an investment adviser, as appropriate.