TEXAS REGULATORY REVIEW: Insight for Brokers and Advisers

July 2013  Volume 1, Issue 1

Welcome to the First Issue of the Texas Regulatory Review

The State Securities Board's Texas Regulatory Review is a new publication that will provide commentary to registered financial services professionals, with an emphasis on investment advisers and investment adviser representatives who do business in Texas. READ MORE

Understanding the Custody Rule

Investment advisers probably know they must comply with certain requirements of the Custody Rule governing client funds or securities. Reviewing the relevant rules and existing guidance, however, can help advisers understand if they may be deemed to have custody and what safeguards they must establish in order to protect clients. READ MORE

What to Expect When You're Being Inspected

Any investment adviser and broker-dealer is subject to examination by the State Securities Board. From interviewing key personnel to collecting and analyzing documentation related to an adviser's or broker's business and clients, it helps to know what to expect during an inspection. READ MORE

Business Continuity: Preparing for the Unexpected

Natural and man-made disasters, as well as fire, theft, and the unexpected death of a financial firm's leader, can seriously disrupt or even cripple a firm's operations. Business continuity plans are critical to your clients' interests. READ MORE