7 Tex. Admin. Code § 116.10

Current through Reg. 49, No. 45; November 8, 2024

Section 116.10 - Supervisory Requirements

Each registered investment adviser shall establish, maintain, and enforce a system to supervise the activities of its investment adviser representatives that is reasonably designed to achieve compliance with the Texas Securities Act, Board rules, and all applicable securities laws and regulations. Supervisory systems must be written and available for inspection in either print or electronic format.

The provisions of this §116.10 adopted to be effective August 12, 2001, 26 TexReg 5799; amended to be effective November 26, 2001, 26 TexReg 9582; amended to be effective July 14, 2005, 30 TexReg 3989; amended to be effective August 16, 2010, 35 TexReg 7050