ALERT:
For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
For Investors
Learn the CORE FOUR
Learning about investing starts with the CORE FOUR: Making Investments, Investing for Retirement, Choosing a Financial Professional, and Scams & Unsuitable Investments. All are available in Spanish.
Order the 2020 Texas Investor Guide
Order the 10th anniversary edition of the Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud. For free copies, provide a mailing address to txig@ssb.texas.gov. The Investor Guide is also in Spanish.
The Latest News & Publications
Serial Recidivist’s Joyride Speeds to a Halt
Robert Mangiafico Jr., a 55-year-old resident of Carrollton, was sentenced by the 296th District Court in Collin County to serve 20 years for evading arrest with a deadly weapon and 63 years for possession with intent to deliver GHB...
Texas Stops Fraudulent Private Equity Scheme
Securities Commissioner Travis J. Iles entered an Emergency Cease and Desist Order against Prestige Equity and others accused of illegally offering lucrative investments tied to a private equity fund.
According to the order, the parties are claiming investors become limited...
Securities Commissioner Issues Two Administrative Orders
Texas Securities Commissioner, Travis J. Iles, entered an order today suspending the license of Dallas-based investment adviser and agent Michael E. Witt for a period of thirty days due to Witt’s inequitable business practices in connection with a former advisor...
About the Texas Securities Board
Our Mission
The State Securities Board is responsible for administering and enforcing the Texas Securities Act. The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the formation of capital and the creation of new jobs in Texas.
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