News – Bulletins, Press Releases
File a Complaint
Background Check - E-mail our Registration Division for a full report from the CRD or IARD on registered broker-dealers and investment advisors.
File a Complaint
Background Check - E-mail our Registration Division for a full report from the CRD or IARD on registered broker-dealers and investment advisors.
Resources
Explore our collection of financial information from trusted resources.
Who We Are
The State Securities Board regulates the securities industry in Texas. The Agency registers securities offered or sold in Texas, oversees the firms and individuals selling securities or providing investment advice to Texans, and enforces the Securities Act through criminal, civil, and administrative actions. The Agency, consistent with its mission to protect investors, also works to ensure a free and competitive securities market in Texas to encourage the formation of capital and the creation of new jobs. Through our Investor Education initiative, we help our fellow Texans become informed investors.
For official information regarding the State Securities Board, visit the official agency webpage.
Tools
Use tools such as calculators, budgeting worksheets, and checklists to make more informed financial decisions.
Background Checks:
Broker/Agent
Investment Advisor
Disclaimer: The Texas State Securities Board's "Investigate Before You Invest!" project is funded in part by a grant from the Investor Protection Trust (IPT). The IPT is a nonprofit organization devoted to investor education. Since 1993, the IPT has worked with the states to provide the independent, objective investor education needed by all Americans to make informed investment decisions. www.investorprotection.org. Accuracy of information. The State Securities Board (SSB) makes reasonable efforts to assure that information on our web site is accurate, complete, and timely. However, we do not represent or warrant that the information is accurate, complete, or timely in every instance, or in any specific instance. The SSB assumes no responsibility for errors which may be present in the web site text of rules or statutes. Before relying on such information, you should always confirm the text by reference to the authoritative texts of such rules and statutes. Use of information. The information on the SSB web site is not intended to substitute for the advice and guidance of legal counsel in any circumstance. Links to other sites. Our site provides links to other sites (both governmental and non-governmental) that we believe will be useful or of interest to SSB web site visitors. The SSB has no control over linked sites and is not responsible for information located on them.
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