Sec. 4004.055. FORM AND CONTENTS OF REGISTRATION CERTIFICATE. The registration certificate must be in the form the commissioner prescribes and must state:
(1) the principal place of business and address of the dealer or investment adviser;
(2) the name and business address of each person interested in the business as a principal, officer, director, or managing agent of the dealer or investment adviser; and
(3) that the dealer or investment adviser has been registered for a current calendar year as a dealer in securities or as an investment adviser, as appropriate.
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