Sec. 4004.052. REGISTRATION OF INVESTMENT ADVISERS REQUIRED. Except as provided by Subchapter A, Chapter 4005, a person may not, directly or through the person's investment adviser representative, render services as an investment adviser in this state unless the person:
(1) is registered under this chapter;
(2) submits a notice filing as provided by Subchapter G; or
(3) is otherwise exempt under this title.
Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.
Structure Texas Statutes
Subchapter B. Registration of Dealers and Investment Advisers
Section 4004.051. Registration of Dealers Required
Section 4004.052. Registration of Investment Advisers Required
Section 4004.053. Application for Registration
Section 4004.054. Issuance of Registration Certificate
Section 4004.055. Form and Contents of Registration Certificate
Section 4004.056. Temporary Permission to Engage in Business as Dealer or Investment Adviser