Texas Vernon's Texas Civil Statutes - Article 581-15. Issuance Of Registration Certificates To Dealers And Investment Advisers

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Art. 581-15. ISSUANCE OF REGISTRATION CERTIFICATES TO 
DEALERS AND INVESTMENT ADVISERS.  If the Commissioner is satisfied 
that the applicant for a dealer's or investment adviser's 
certificate of registration has complied with the requirements of 
the Act above, that the applicant has filed a written consent to 
service as and when required by Section 8 of this Act, and upon the 
payment of the fees required by Section 35 of this Act, the 
Commissioner shall register the applicant and issue to it or him a 
registration certificate, stating the principal place of business 
and address of the dealer or investment adviser, the names and 
business addresses of all persons interested in the business as 
principals, officers, directors or managing agents, and the fact 
that the dealer or investment adviser has been registered for a 
current calendar year as a dealer in securities or as an investment 
adviser.  Pending final disposition of an application, the 
Commissioner may, for special cause shown, grant temporary 
permission, revocable at any time and subject to such terms and 
conditions as the Commissioner may prescribe, to transact business 
as a dealer or investment adviser under this Act.  Any dealer or 
investment adviser acting under such a temporary permission, shall 
be considered a registered dealer or investment adviser for all 
purposes of this Act.

Acts 1957, 55th Leg., p. 575, ch. 269, Sec. 15.                               

Amended by Acts 1983, 68th Leg., p. 5219, ch. 953, Sec. 1, eff. 
Sept. 1, 1983;  Acts 2001, 77th Leg., ch. 1091, Sec. 2.11, eff. 
Sept. 1, 2001.

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Last modified: August 10, 2007