Texas Statutes
Title 12 - Securities Act
Chapter 4007 - Enforcement

Subchapter A. Authority to Enforce Title

Section 4007.001. Enforcement by Commissioner, Attorney General, and District or County Attorney - Sec. 4007.001. ENFORCEMENT BY COMMISSIONER, ATTORNEY GENERAL, AND DISTRICT OR...

Section 4007.002. Means of Enforcement Not Exclusive - Sec. 4007.002. MEANS OF ENFORCEMENT NOT EXCLUSIVE. The commissioner may...

Subchapter B. Inspections and Investigations

Section 4007.051. Complaints Filed With Commissioner or Board - Sec. 4007.051. COMPLAINTS FILED WITH COMMISSIONER OR BOARD. (a) The...

Section 4007.052. Inspections - Sec. 4007.052. INSPECTIONS. (a) The commissioner without notice may inspect...

Section 4007.053. Investigative Authority - Sec. 4007.053. INVESTIGATIVE AUTHORITY. (a) The commissioner shall conduct investigations...

Section 4007.054. Service of Subpoena, Summons, or Other Process - Sec. 4007.054. SERVICE OF SUBPOENA, SUMMONS, OR OTHER PROCESS. (a)...

Section 4007.055. Enforcement of Subpoena; Contempt - Sec. 4007.055. ENFORCEMENT OF SUBPOENA; CONTEMPT. (a) If a person...

Section 4007.056. Confidentiality of Investigative Information - Sec. 4007.056. CONFIDENTIALITY OF INVESTIGATIVE INFORMATION. (a) All information received...

Section 4007.057. Compensation of Witnesses - Sec. 4007.057. COMPENSATION OF WITNESSES. (a) A witness required to...

Section 4007.058. Imposition of Costs on Parties - Sec. 4007.058. IMPOSITION OF COSTS ON PARTIES. The commissioner may...

Section 4007.059. Assistance to Securities Regulators in Other Jurisdictions - Sec. 4007.059. ASSISTANCE TO SECURITIES REGULATORS IN OTHER JURISDICTIONS. (a)...

Subchapter C. Administrative Actions

Section 4007.101. Cease and Desist Order: Offer or Sale of Securities - Sec. 4007.101. CEASE AND DESIST ORDER: OFFER OR SALE OF...

Section 4007.102. Cease and Desist Order: Investment Adviser or Investment Adviser Representative - Sec. 4007.102. CEASE AND DESIST ORDER: INVESTMENT ADVISER OR INVESTMENT...

Section 4007.103. Cease Publication Order - Sec. 4007.103. CEASE PUBLICATION ORDER. (a) Notwithstanding any provision of...

Section 4007.104. Emergency Cease and Desist Order - Sec. 4007.104. EMERGENCY CEASE AND DESIST ORDER. (a) On the...

Section 4007.105. Denial, Suspension, or Revocation of Registration - Sec. 4007.105. DENIAL, SUSPENSION, OR REVOCATION OF REGISTRATION. (a) The...

Section 4007.106. Assessment of Administrative Fine - Sec. 4007.106. ASSESSMENT OF ADMINISTRATIVE FINE. (a) In addition to...

Section 4007.107. Hearings on Certain Matters - Sec. 4007.107. HEARINGS ON CERTAIN MATTERS. (a) A person or...

Section 4007.108. Refund - Sec. 4007.108. REFUND. (a) Subject to Subsection (b), the commissioner...

Subchapter D. Civil Proceedings

Section 4007.151. Receivership - Sec. 4007.151. RECEIVERSHIP. (a) This section applies only to a...

Section 4007.152. Injunctive Relief - Sec. 4007.152. INJUNCTIVE RELIEF. (a) The commissioner may request the...

Section 4007.153. Equitable Relief and Restitution - Sec. 4007.153. EQUITABLE RELIEF AND RESTITUTION. (a) On the commissioner's...

Section 4007.154. Civil Penalty - Sec. 4007.154. CIVIL PENALTY. (a) On the commissioner's request, the...

Section 4007.155. Recovery of Costs - Sec. 4007.155. RECOVERY OF COSTS. In an action brought under...

Subchapter E. Criminal Provisions

Section 4007.201. Unauthorized Sale of Securities; Offense - Sec. 4007.201. UNAUTHORIZED SALE OF SECURITIES; OFFENSE. (a) A person...

Section 4007.202. Unauthorized Rendering of Services as Investment Adviser or Investment Adviser Representative; Offense - Sec. 4007.202. UNAUTHORIZED RENDERING OF SERVICES AS INVESTMENT ADVISER OR...

Section 4007.203. Fraudulent Conduct; Offense - Sec. 4007.203. FRAUDULENT CONDUCT; OFFENSE. (a) A person commits an...

Section 4007.204. Materially False Statement in Document or Proceeding; Offense - Sec. 4007.204. MATERIALLY FALSE STATEMENT IN DOCUMENT OR PROCEEDING; OFFENSE....

Section 4007.205. False Statement or Representation Concerning Registration; Offense - Sec. 4007.205. FALSE STATEMENT OR REPRESENTATION CONCERNING REGISTRATION; OFFENSE. (a)...

Section 4007.206. Violation of Cease and Desist Order; Offense - Sec. 4007.206. VIOLATION OF CEASE AND DESIST ORDER; OFFENSE. (a)...

Section 4007.207. Noncompliant Offer or Offer Prohibited by Cease Publication Order; Offense - Sec. 4007.207. NONCOMPLIANT OFFER OR OFFER PROHIBITED BY CEASE PUBLICATION...

Section 4007.208. Aggregation of Amounts - Sec. 4007.208. AGGREGATION OF AMOUNTS. When amounts are obtained in...

Section 4007.209. Liability of Corporation - Sec. 4007.209. LIABILITY OF CORPORATION. (a) In this section: (1)...