Texas Administrative Code
Title 7 - BANKING AND SECURITIES
Part 7 - STATE SECURITIES BOARD
Chapter 102 - COMPLAINT PROCESS
Section 102.2 - Definitions
Universal Citation: 7 TX Admin Code ยง 102.2
Current through Reg. 49, No. 12; March 22, 2024
The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise.
(1) Complaint--a written communication submitted to the Agency by a person that alleges misconduct by an individual or entity believed to be engaged in an activity that is regulated by the Agency.
(2) Complainant--person filing a complaint with the Securities Commissioner.
(3) Jurisdictional authority--conduct regulated by the Agency as provided for in the Act and Board rules.
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