Monday, August 15, 2011

Texas Adopts Application Filing and Fee Amendments for Dealer/Investment Adviser Designated Officers

The application filing and fee requirements for designated officers of dealers and investment advisers, including sole proprietors, was amended, along with the recordkeeping requirements for investment advisers, effective August 18, 2011. A rule adopting various policy statements of the North American Securities Administrators Association (NASAA) was updated. A rule on confidential information was amended to permit certain sharing of the information.

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