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June 25th, 2008 at 5:29pm
Date: Wed, 25 Jun 2008 22:24:14 GMT Server: Apache/2.2.2 (Unix) PHP/5.2.5 X-Powered-By: PHP/5.2.5 Connection: close Transfer-Encoding: chunked Content-Type: text/html
TITLE 7.BANKING AND SECURITIES a3d
This is just a sample of the content found on this website. Please visit the website to read the entire page. " TITLE 7.BANKING AND SECURITIES Part 7. STATE SECURITIES BOARD Chapter 107. TERMINOLOGY 7 TAC §107.2 The Texas State Securities Board adopts an amendment to §107.2, concerning definitions, without changes to the proposed text as published in the November 2, 2007, issue of the Texas Register (32 TexReg 7813). The amendment updates definitions to reference the Financial Industry Regulatory Authority (FINRA), which was created from the merger of NASD and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange. The rule accurately references a new industry regulatory organization. No comments were received regarding adoption of the amendment. The amendment is adopted under Texas Civil Statutes, Article 581-28-1. Section 28-1 provides the Board with the authority to adopt rules and regulations necessary to carry out and implement the provisions of the Texas Securities Act, including rules and regulations governing registration statements and applications; defining terms; classifying securities, persons, and matters within its jurisdiction; and prescribing different requirements for different classes. The adopted amendment affects Texas Civil Statutes, Articles 581-12, 581-12-1, 581-13, 581-18, and 581-19. This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority. Filed with the Office of the Secretary of State on February 1, 2008. TRD-200800656 Denise Voigt Crawford Securities Commissioner State Securities Board Effective date: February 21, 2008 Proposal publication date: November 2, 2007 For further information, please call: (512) 305-8303 Chapter 115. SECURITIES DEALERS AND AGENTS 7 TAC §§115.1 - 115.5 The Texas State Securities Board adopts amendments to §§115.1 - 115.5, concerning securities dealers and agents, without changes to the proposed text as published in the November 2, 2007, issue of the Texas Register (32" .... read entire page 0 |
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