§ 4004.051 Registration of Dealers Required
§ 4004.052 Registration of Investment Advisers Required
§ 4004.053 Application for Registration
§ 4004.054 Issuance of Registration Certificate
§ 4004.055 Form and Contents of Registration Certificate
§ 4004.056 Temporary Permission to Engage in Business as Dealer or Investment Adviser
§ 4004.057 Amendment of Registration Certificate
§ 4004.058 Posting Registration Certificates

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Terms Used In Texas Government Code Chapter 4004 > Subchapter B - Registration of Dealers and Investment Advisers

  • Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
  • 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
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Decedent: A deceased person.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Fraud: Intentional deception resulting in injury to another.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • Signed: includes any symbol executed or adopted by a person with present intention to authenticate a writing. See Texas Government Code 311.005
  • sworn: includes affirm or affirmed. See Texas Government Code 312.011
  • Written: includes any representation of words, letters, symbols, or figures. See Texas Government Code 311.005