Sec. 4002.159. RECORD OF CERTAIN FILINGS AND ORDERS. (a) The commissioner shall maintain a record of:
(1) the names and addresses of all registered dealers, registered agents, registered investment advisers, registered investment adviser representatives, and persons who have submitted a notice filing under this title; and
(2) all orders of the commissioner denying, suspending, or revoking a registration.
(b) A record maintained under Subsection (a) must be open for public inspection.
(c) This section does not apply to information made confidential by Section 4002.161, 4007.052, or 4007.056 or other law.
Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.
Structure Texas Statutes
Chapter 4002 - State Securities Board and Securities Commissioner
Subchapter D. Powers and Duties of Board and Commissioner
Section 4002.152. Rules Regarding Competitive Bidding or Advertising
Section 4002.153. Board Delegation of Rulemaking Authority
Section 4002.1535. Alternative Rulemaking and Dispute Resolution
Section 4002.154. Commissioner Discretion Regarding Rules
Section 4002.155. Deposit of Receipts to General Revenue Fund
Section 4002.156. Board Authority to Exercise Commissioner's Powers
Section 4002.157. List of Securities Offered
Section 4002.158. Record of Proceedings
Section 4002.159. Record of Certain Filings and Orders
Section 4002.160. Commissioner's Access to Records and Reports of Other State Agencies
Section 4002.161. Confidentiality of Certain Information