Sec. 4007.202. UNAUTHORIZED RENDERING OF SERVICES AS INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE; OFFENSE. (a) A person commits an offense if the person:
(1) renders services as an investment adviser or investment adviser representative; and
(2) is not registered as an investment adviser or investment adviser representative as required by this title.
(b) An offense under this section is a felony of the third degree.
Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.
Structure Texas Statutes
Subchapter E. Criminal Provisions
Section 4007.201. Unauthorized Sale of Securities; Offense
Section 4007.203. Fraudulent Conduct; Offense
Section 4007.204. Materially False Statement in Document or Proceeding; Offense
Section 4007.205. False Statement or Representation Concerning Registration; Offense
Section 4007.206. Violation of Cease and Desist Order; Offense
Section 4007.207. Noncompliant Offer or Offer Prohibited by Cease Publication Order; Offense