Texas Vernon's Texas Civil Statutes - Article 581-13-1. Inspection

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Art. 581-13-1. INSPECTION.  A. The Commissioner, without 
notice, may inspect a registered dealer or registered investment 
adviser as necessary to ensure compliance with this Act and Board 
rules.
	B. The Commissioner, during regular business hours, may:                       
	(1)  enter the business premises of a registered dealer or 
registered investment adviser;  and
	(2)  examine and copy books and records pertinent to the 
inspection.         
	C. During the inspection, the dealer or investment adviser 
shall:            
	(1)  provide to the Commissioner or the Commissioner's 
authorized representative immediate and complete access to the 
person's office, place of business, files, safe, and any other 
location in which books and records pertinent to the inspection are 
located;  and
	(2)  allow the Commissioner or the Commissioner's authorized 
representative to make photostatic or electronic copies of books or 
records subject to inspection.
	D. A dealer or investment adviser may not charge a fee for 
copying information under this section.
	E. Information obtained under this section and any 
intra-agency or interagency notes, memoranda, reports, or other 
communications consisting of advice, analyses, opinions, or 
recommendations that are made in connection with the inspection are 
confidential and may not be disclosed to the public or released by 
the Commissioner except to the same extent provided for the release 
or disclosure of confidential documents or other information made 
or obtained in connection with an investigation under Section 28 of 
this Act.

Added by Acts 2001, 77th Leg., ch. 1091, Sec. 3.01, eff. Sept. 1, 
2001.     

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Last modified: August 10, 2007