Sec. 4004.057. AMENDMENT OF REGISTRATION CERTIFICATE. (a) A dealer or investment adviser shall immediately certify under oath to the commissioner any change in the personnel of a partnership or in the principals, officers, directors, or managing agents of the dealer or investment adviser.
(b) A change in the registration certificate required as the result of a change described by Subsection (a) may be made at any time by submitting to the commissioner a written application that specifies the reason for the change.
(c) On the issuance of an amended registration certificate, the dealer or investment adviser shall promptly surrender the original certificate and any outstanding certified copies of the original certificate to the commissioner.
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