Texas Vernon's Texas Civil Statutes - Article 581-18. Registration Of Agents Of Dealers Or Of Representatives Of Investment Advisers

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Art. 581-18. REGISTRATION OF AGENTS OF DEALERS OR OF 
REPRESENTATIVES OF INVESTMENT ADVISERS.  Upon written application 
by a registered dealer or investment adviser, and upon satisfactory 
compliance with the requirements of the Act above, the Commissioner 
shall register as an agent of such dealer or as a representative of 
the investment adviser such persons as the dealer or investment 
adviser may request.  The application shall be in such form as the 
Commissioner may prescribe and shall state the residences and 
addresses of the persons whose registration is requested, together 
with such information as to such agent's or investment adviser 
representative's previous history, record and association as may be 
required by the Commissioner.  Such application shall also be 
signed and sworn to by the agent or investment adviser 
representative for whom registration is requested.  The 
Commissioner shall issue to such dealer or investment adviser, to 
be retained by such dealer or investment adviser for each person so 
registered, evidence of registration stating the person's name, the 
address of the dealer or investment adviser, and the fact that the 
person is registered for the current calendar year as an agent or 
investment adviser representative of the dealer or investment 
adviser, as appropriate.  The evidence of registration shall be in 
such form as the Commissioner shall determine.  Upon application by 
the dealer or the investment adviser, the registration of any agent 
or investment adviser representative shall be cancelled.

Acts 1957, 55th Leg., p. 575, ch. 269, Sec. 18.                               

Amended by Acts 1983, 68th Leg., p. 2688, ch. 465, Sec. 1, eff. 
Sept. 1, 1983;  Acts 1983, 68th Leg., p. 5220, ch. 953, Sec. 2, eff. 
Sept. 1, 1983;  Acts 2001, 77th Leg., ch. 1091, Sec. 2.13, eff. 
Sept. 1, 2001.

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Last modified: August 10, 2007