Chapter 116 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- § 116.1 - General Provisions
- § 116.2 - Application Requirements
- § 116.3 - Examination
- § 116.4 - Evidences of Registration
- § 116.5 - Minimum Records
- § 116.6 - Registration of Persons with Criminal Backgrounds
- § 116.7 - Maintenance and Inspection of Records
- § 116.8 - Fee Requirements
- § 116.9 - Post-Registration Reporting Requirements
- § 116.10 - Supervisory Requirements
- § 116.11 - Disclosure Requirement/Brochure Rule
- § 116.12 - Advisory Contract Requirements
- § 116.13 - Advisory Fee Requirements
- § 116.14 - Prevention of Misuse of Nonpublic Information
- § 116.15 - Adoption by Reference of Investment Adviser Marketing Rules
- § 116.16 - Use of Senior-Specific Certifications and Professional Designations
- § 116.17 - Custody of Funds or Securities of Clients by Registered Investment Advisers
- § 116.18 - Special Provisions Relating to Military Applicants
- § 116.21 - System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Chapter 4004, Subchapter H
- § 116.22 - Electronic Submission of Forms and Fees
- § 116.23 - Notice of Cybersecurity Incident
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