Texas Government Code 4007.202 – Unauthorized Rendering of Services as Investment Adviser or Investment Adviser Representative; Offense
Current as of: 2024 | Check for updates
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(a) A person commits an offense if the person:
(1) renders services as an investment adviser or investment adviser representative; and
(2) is not registered as an investment adviser or investment adviser representative as required by this title.
(b) An offense under this section is a felony of the third degree.
Terms Used In Texas Government Code 4007.202
- 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